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Search Criteria: Begin Date "10-01-2009" End Date "10-31-2009"
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Name of Respondent(s) Date Type of Action File Number
J & N Associates Illinois Inc.,
Junji Yamamoto,
Naoko Yamamoto
October 01, 2009 Consent Order 0700177
Anthony Pritchard October 08, 2009 Order Of Prohibition 0700502
Capitol Villa Investments L.L.C.,
Matthew Lewis
October 08, 2009 Order Of Prohibition 0800136
Matthew Robert Gale October 09, 2009 Summary Order Of Denial 0900286
Tamara R. Harrell,
Prescott Investment Inc.
October 13, 2009 Notice Of Hearing 0800092
Blue Rose Wealth Management L.L.C. October 15, 2009 Consent Order Of Fine 0900188
Senior Retirement Services,
Lavern P. Huelsmann
October 15, 2009 Tempopary Order Of Prohibition 0800514
First Financial Group,
Donald M. Medley Inc.,
Donald M. Medley
October 16, 2009 Consent Order To Continue Temporary Order 0900439
First Financial Group,
Donald M. Medley Inc.,
Donald M. Medley
October 16, 2009 Notice Of Hearing 0900439
Senior Financial Strategies Inc.,
D/B/A Pinnacle Investment Advisers,
Thomas N. Cooper,
Susan B. Cooper
October 21, 2009 Notice Of Hearing 0800064
Internet Auction Solutions October 22, 2009 Order To Cease And Desist 0800401
Internet Income Solutions,
Internet Logistics L.L.C.
October 22, 2009 Order To Cease And Desist 0800401
Jay Johnson October 23, 2009 Consent Order To Continue Temporary Order 0600601
Paul R. Quinn,
Paul R. Ouinn And Associates
October 26, 2009 Notice Of Hearing 0900220
Coach Financial Services Incorporated,
Garry Jacobs
October 29, 2009 Order Of Prohibition 0800583
Ervin Robinson,
Shirley Robinson,
Vision Financial Partners L.L.C.,
Vision Trading Partners Llc
October 30, 2009 Temporary Order Of Prohibition 0900213
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