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Search Criteria: Begin Date "11-01-2013" End Date "11-30-2013"
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Name of Respondent(s) Date Type of Action File Number
Robert R. Petersen,
First U.S. Equities Inc.,
First Federal Equities Inc.
November 04, 2013 Consent Order 0900498
Brian Knight,
Knight Asset Management L.L.C.
November 05, 2013 Notice Of Hearing 0900325
Ryan Matthew Poss November 08, 2013 Order Of Dismissal 1200182
Frank E. Brickell November 12, 2013 Notice Of Hearing 1300385
Mogavero Lee & Co. Inc. November 12, 2013 Order Of Cancellation 1300359
Leslie A. Schaller November 12, 2013 Demand Letter 0500083
Bikini Vending Inc.,
A/K/A 360 Wireless Inc.,
Edward Bevilacqua
November 12, 2013 Demand Letter 0400211
Brian F. Gimelson November 12, 2013 Demand Letter 0400287
Felix L. Daniel Sr. November 12, 2013 Demand Letter 0600670
Timothy Shawn Dunn November 12, 2013 Demand Letter 0700512
Barry Chessick November 12, 2013 Demand Letter 0800567
Hassan Washington November 12, 2013 Demand Letter 0900294
Bruce E. Carlson November 12, 2013 Demand Letter 0400068
David Matthew Lisnek November 13, 2013 Temporary Order Of Suspension 1300411
Guy B. Deemer November 18, 2013 Notice Of Hearing 1300396
Robert S. Gesdorf November 19, 2013 Notice Of Hearing 1300414
William Edgar Sharp November 20, 2013 Demand Letter 0400679
Jeffrey A. Batio,
Armada Systems L.L.C.
November 21, 2013 Temporary Order Of Prohibition 1200299
Shawn D. Baldwin,
Capital Management Group Securities L.L.C.,
C.M.G. Institutional Trading L.L.C.
November 26, 2013 Order Of Prohibition 0900290
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