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Search Criteria: Begin Date "10-01-2008" End Date "10-31-2008"
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Name of Respondent(s) Date Type of Action File Number
Darlene Dantes,
Capapie Inc.
October 01, 2008 Temporary Order Of Prohibition 0800324
William D. Mattes Sr. October 01, 2008 Consent Order Of Revocation 0800115
Cunningham Hyatt Mergers And Acquisitions L.L.P. October 02, 2008 Temporary Order Of Prohibition 0800297
Hugh F. Denison October 02, 2008 Consent Order Of Dismissal 0800263
American Fund Inc.,
Fabian C. Harris
October 06, 2008 Order Of Prohibition 0800354
Kevin D. Clark October 06, 2008 Consent Order Of Dismissal 0800262
Mark Ruttenberg,
Jill Ruttenberg,
Monarch Visual Solutions Inc.
October 06, 2008 Temporary Order Of Prohibition 0700461
Members Capital Advisors Inc. October 06, 2008 Notice Of Hearing 0800319
Paul T. Beste October 06, 2008 Consent Order Of Dismissal 0800265
Advanced Ultrasound Imaging Inc.,
Steve K. Jablon
October 07, 2008 Consent Order 0700349
Matrix Petroleum Inc.,
Basin Oil And Gas Corporation
October 07, 2008 Order Of Prohibition 0800026
Petrotech Resources Corporation October 08, 2008 Order Of Prohibition 0700587
Epic Commerce L.L.C.,
Bankcard Empire,
Utimate Business Solutions
October 09, 2008 Summary Order To Cease And Desist 0800438
Parkwood Lending Group October 09, 2008 Temporary Order Of Prohibition 0800402
Phillip S. Eggers October 10, 2008 Consent Order Of Withdrawal 0800340
Global Timber And Resources Corporation Of Casa Grande,
George D. Miller
October 14, 2008 Temporary Order Of Prohibition 0800502
Heartland Resources Inc. October 14, 2008 Notice Of Hearing 0700586
Innotech Laboratories Inc.,
Brian L. Jones
October 14, 2008 Temporary Order Of Prohibition 0700422
Alliance Leasing L.L.C. October 15, 2008 Notice Of Hearing 0700462
Nickolas F. Defina,
D/B/A Defina Financial
October 15, 2008 Notice Of Hearing 0600514
Raymond Loren Denton October 15, 2008 Consent Order 0700002
Findley Financial Lending Group October 15, 2008 Order Of Prohibition 0800333
Juan Cahue October 16, 2008 Order Of Prohibition 0600524
Terrence L. Donati,
A/K/A Terry L. Donati,
Amy Donati,
Brighton Hill Enterpise Inc.,
D/B/A Northwest Business Brokers
October 17, 2008 Notice Of Hearing 0800276
Gregory Webb,
C. Robert Abbott,
James R. Zilka,
Infraegis Inc.,
F/K/A Intebgents Inc.,
Bacteria Sciences Worldwide L.L.C.
October 20, 2008 Notice Of Hearing 0800463
John T. Witz October 20, 2008 Temporary Order Of Prohibition 0800126
Petrotech Resources Corporation Inc. October 20, 2008 Consent Order To Continue Temporary Order 0700587
Francis Michael Evans October 21, 2008 Notice Of Hearing 0800473
Michele Hoskins October 24, 2008 Notice Of Hearing 0500590
Oscar Financial Management October 27, 2008 Order Of Prohibition 0800400
Kevin G. Carney October 28, 2008 Temporary Order Of Prohibition 0800508
Heartland Resources Inc. October 29, 2008 Consent Order To Continue Temporary Order 0700586
Online Data Institute October 29, 2008 Order To Cease And Desist 0800401
Robert M. Smart,
Smart Planning Company,
D/B/A Smart Financial Planners
October 30, 2008 Order Of Prohibition 0600664
Thomas Magee,
A/K/A Tom Magee,
Magee & Associates,
Transnational Consultation Management Inc.
October 30, 2008 Temporary Order Of Prohibition 0800491
Consolidated Wealth Holdings Inc.,
John Spalding,
Laura Spalding,
Scott Osborne
October 31, 2008 Temporary Order Of Prohibition 0800509
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