Skip Navigation
HomeDepartmentsSecuritiesAdministrative Actions Search

ADMINISTRATIVE ACTIONS SEARCH

Search Criteria: Begin Date "11-01-2011" End Date "11-30-2011"
Return to Search
Name of Respondent(s) Date Type of Action File Number
Wendy Meyers Simpson November 01, 2011 Order Of Dismissal 1100410
Dealer Auction Access Inc. November 02, 2011 Summary Order To Cease And Desist 1000407
Patrick T Dunaway November 02, 2011 Order Of Dismissal 1100376
Ballentine Investments Inc.,
William Andrew Ballentine
November 04, 2011 Order Of Prohibition 1100260
Christos Fotiadis November 04, 2011 Notice Of Hearing 1000180
The Matomi Group L.L.C.,
Daniel Andonovski
November 04, 2011 Order Of Prohibition 0800443
Virginia Commercial Capital Corporation,
Scott Mattingley
November 04, 2011 Consent Order To Continue Temporary Order ' 1100342
Virginia Commercial Capital Corporation,
Scott Mattingley
November 04, 2011 Notice Of Hearing 1100342
Arthur S. Miller November 07, 2011 Consent Order 0700268
Muminah Abdul-Malik November 07, 2011 Order Of Dismissal 1100377
Richard Neil Rosenberg November 07, 2011 Order Of Dismissal 1100421
Jeffrey Sam Decant November 08, 2011 Order Of Dismissal 1100387
Alfaro Oil & Gas L.L.C,
Brian Keith Alfaro,
Pinnacle Partners Financial Corporation
November 09, 2011 Consent Order Of Fine 1100296
Brian Keith Richardson Sr. November 09, 2011 Order Of Dismissal 1100382
Chadwick Creech,
Yuwen Creech,
Streamones F.S. L.L.C.,
Streamone L.L.C.
November 10, 2011 Temporary Order Of Prohibition 1100294
Donald Lee Hooks Jr. November 10, 2011 Order Of Dismissal 1100414
Kimberlv Sheri Smith November 10, 2011 Order Of Dismissal 1100420
Shawn D. Baldwin,
Capital Management Group Securities L.L.C,
C.M.G Institutional Trading L.L.C
November 10, 2011 Second Amended Notice Of Hearing 0900290
John L. Frazier,
Tax Recovery Team
November 14, 2011 Consent Order Of Prohibition 1000351
Kabarec Financial Advisors Ltd. November 15, 2011 Consent Order Of Fine 1100287
Ray Pacific Global Assets Lp,
Ray Pacific Asset Management L.L.C,
Ray Krittibas
November 15, 2011 Temporary Order Of Prohibition 1100241
Scott Mcginnis,
Truearn.Com
November 15, 2011 Order Of Prohibition 1000312
Charles Edward Bell November 16, 2011 Notice Of Hearing 1100375
Deborah Ann Wilson November 16, 2011 Notice Of Hearing 1100392
Eric J Neumann November 16, 2011 Notice Of Hearing 1100373
Fredrick Donn Williamson November 16, 2011 Notice Of Hearing 1100379
George Dragel November 16, 2011 Consent Order 1100016
George Algirdas Kuzmickas November 16, 2011 Notice Of Hearing 1100399
Gustavo A Ruiz November 16, 2011 Notice Of Hearing 1100378
Jonathan Michael Riogoni November 16, 2011 Notice Of Hearing 1100365
Lawrence A. Kreindel November 16, 2011 Notice Of Hearing 1100384
Michael Craig Pattrick November 16, 2011 Notice Of Hearing 1100371
Michael Joseph Stahl Jr. November 16, 2011 Notice Of Hearing 1100424
Mitchell Ray Davis November 16, 2011 Notice Of Hearing 1100396
Robert Iver Kelley Jr November 16, 2011 Notice Of Hearing 1100380
Scott A. Kashian November 16, 2011 Notice Of Hearing 1100397
Tracey Renee Callaway November 16, 2011 Order Of Dismissal 1100154
Yitzhok Alexander Fox November 16, 2011 Notice Of Hearing 1100406
Bradley P. Schieber November 17, 2011 Temporary Order Of Prohibition 1100021
Matthew Sapaula,
Matthew Sapaula Inc.
November 17, 2011 Order Of Prohibition 0900415
Michael A. Macis November 21, 2011 Temporary Order Of Prohibition And Suspension 1100449
Gerald Thomas Mccullough November 23, 2011 Order Of Dismissal 1100388
M. F. Global Inc. November 23, 2011 Order Of Cancellation 1100471
Scott A. Kashian November 23, 2011 Order Of Dismissal 1100397
Dealer Auction Access Inc. November 28, 2011 Notice Of Hearing 1000407
Jay Taparia November 28, 2011 Order Of Dismissal 1100422
Mohammed I. Khan,
Ink Global Consulting Inc.,
Ink Global L.L.C.,
Ink Global Capital L.L.C.
November 28, 2011 Consent Order To Continue Temporary 1000399
Inaki Eguizabal November 28, 2011 Order Of Dismissal 1100135
Real Estate On The Radio L.L.C,
R.B. Consulting Inc.,
Ronald M. Vergara
November 29, 2011 Order Of Prohibition 1100344
Donnie D. Eddy November 30, 2011 Order Of Dismissal 1100404
Michael C. Marron November 30, 2011 Order Of Dismissal 1100428
Leonard Edwin Belcher November 30, 2011 Order Of Dismissal 1100368
Mark L. Borst,
Nicholas Hindman,
Mel Krumdick,
Todd Dyer,
Midwest Farmland Limited Partnership,
Midwest Farmland Management Corporation,
Midwest Farmland Acquisitions,
American Farmland Partners Corporation,
Agricultural Network Corporation
November 30, 2011 Consent Order To Continue Temporary 1000325
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.

Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader