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Search Criteria: Begin Date "10-01-2011" End Date "10-31-2011"
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Name of Respondent(s) Date Type of Action File Number
Alvin Joseph Boutte Jr October 03, 2011 Temporary Order Of Prohibition 1100227
Ballentine Investments Inc.,
William Andrew Ballentine
October 03, 2011 Temporary Order Of Prohibition 1100260
Stephen Aquilino October 05, 2011 Consent Order Of Denial 1100232
Scott Mcginnis,
Truearn.Com
October 06, 2011 Temporary Order Of Prohibition 1000312
Jason Kendrick Roberts,
D/B/A J.K.R Asset Management
October 11, 2011 Order Of Cancellation 1100312
Sequoia Group Inc.,
Michael R. Kimmelman
October 12, 2011 Order Of Revocation And Fine 1000376
Sequoia Group Inc.,
Michael R. Kimmelman
October 12, 2011 Order Of Revocation And Fine 1000404
Cor Development Group Inc.,
Alberto B. Colon,
Artemio Rivera
October 13, 2011 Notice Of Hearing 0900382
Lombardi & Co Inc October 13, 2011 Consent Order Of Withdrawal 1100066
Mohammed L. Khan,
Ink Global Consulting Inc.,
Ink Global L.L.C.,
Ink Global Capital L.L.C.
October 13, 2011 Notice Of Hearing 0900498
Todd C. Smith,
Retirement Planning Services,
Travis Oliver,
Bruce Hongsermeier,
Electls Asset Holdings L.L.C.
October 14, 2011 Notice Of Hearing 1000302
Madison Avenue Securities Inc. October 18, 2011 Notice Of Hearing 1000341
Brian Keith Richardson Sr October 19, 2011 Notice Of Hearing 1100382
Charles Maurice Walls October 19, 2011 Notice Of Hearing 1100415
Daniel Edward Sigman October 19, 2011 Notice Of Hearing 1100401
Dennis P. Karau October 19, 2011 Notice Of Hearing 1100385
Derrick K. Jones October 19, 2011 Notice Of Hearing 1100427
Donald Lee Hooks Jr. October 19, 2011 Notice Of Hearing 1100414
Donnie D. Eddy October 19, 2011 Notice Of Hearing 1100404
Douglas Wayne Jenkins October 19, 2011 Notice Of Hearing 1100366
Dustin P Shafer October 19, 2011 Notice Of Hearing 1100370
Edwin Leroy Mcclendon October 19, 2011 Notice Of Hearing 1100393
Eric Dale Grant October 19, 2011 Notice Of Hearing 1100407
Firasat Ali Siddiqui October 19, 2011 Notice Of Hearing 1100416
Gail Denise Dugas October 19, 2011 Notice Of Hearing 1100423
Gerald Thomas Mccullough October 19, 2011 Notice Of Hearing 1100388
Howard M. Ramsamugh October 19, 2011 Notice Of Hearing 1100383
Hubert Stalling October 19, 2011 Notice Of Hearing 1100367
Jay Taparia October 19, 2011 Notice Of Hearing 1100422
Jeffrey Sam Decant October 19, 2011 Notice Of Hearing 1100387
Jerome Patrick Sweeney I I October 19, 2011 Notice Of Hearing 1100372
John Sikaras October 19, 2011 Notice Of Hearing 1100381
Jon Marvin Fletcher October 19, 2011 Notice Of Hearing 1100395
Keith Terrell Johnson October 19, 2011 Notice Of Hearing 1100408
Kelvin Anthony Jones October 19, 2011 Notice Of Hearing 1100412
Kevin Robert Strohl October 19, 2011 Notice Of Hearing 1100369
Kimberly Sheri Smith October 19, 2011 Notice Of Hearing 1100420
Leonard Edwin Belcher October 19, 2011 Notice Of Hearing 1100368
Mark Wallace Johnson October 19, 2011 Notice Of Hearing 1100403
Michael Alan Boese October 19, 2011 Notice Of Hearing 1100394
Michael Anthony Lange October 19, 2011 Notice Of Hearing 1100400
Michael C. Marron October 19, 2011 Notice Of Hearing 1100428
Michael Joseph Williams October 19, 2011 Notice Of Hearing 1100431
Milton Kelly Wright October 19, 2011 Notice Of Hearing 1100409
Muminah Abdul-Malik October 19, 2011 Notice Of Hearing 1100377
Patrick T Dunaway October 19, 2011 Notice Of Hearing 1100376
Peter Alan Maren October 19, 2011 Notice Of Hearing 1100430
Reginald Lomax October 19, 2011 Notice Of Hearing 1100389
Richard M. Borek October 19, 2011 Notice Of Hearing 1100417
Richard Neil Rosenberg October 19, 2011 Notice Of Hearing 1100421
Sahara Torres October 19, 2011 Notice Of Hearing 1100418
Salvador Almonte October 19, 2011 Notice Of Hearing 100270
Thomas Patrick Fitzgerald October 19, 2011 Notice Of Hearing 1100390
Timothy Leonchik October 19, 2011 Notice Of Hearing 1100411
Todd Alan Hale October 19, 2011 Notice Of Hearing 1100391
Wendy Meyers Simpson October 19, 2011 Notice Of Hearing 1100410
William Frederick Baumann October 19, 2011 Notice Of Hearing 1100249
Jordan M Jacobs October 19, 2011 Notice Of Hearing 1100374
Michael H. Hess,
Quantum Holdings L.L.C
October 20, 2011 Order To Dismiss Notice Of Hearing 1000403
Todd Alan Shaoholtzer October 20, 2011 Order Of Dismissal 1100128
Lpl Financial L.L.C.,
F/K/A L.P.L. Financial Corporation
October 24, 2011 Consent Order 1000096
Lpl Financial L.L.C.,
F/K/A L.P.L. Financial Corporation
October 24, 2011 Notice Of Hearing 1000096
Doley Securities L.L.C. October 25, 2011 Consent Order Of Fine 1100058
Jordan M Jacobs October 25, 2011 Order Of Dismissal 1100374
Alfaro Oil & Gas L L C,
Brian Keith Altaro,
Pinnacle Partners Financial Corporation
October 26, 2011 Notice Of Hearing 100296
Alvin Joseph Boutte Jr. October 26, 2011 Notice Of Hearing 1100227
Real Estate On The Radio L.L.C.,
R.B. Consulting Inc.,
Ronald M. Vergara
October 26, 2011 Corrected Temporary Order Of Prohibition 1100344
Derrick K. Jones October 27, 2011 Order Of Dismissal 1100427
Kelvin Anthony Jones October 27, 2011 Order Of Dismissal 1100412
Kabarec Financial Advisors Ltd October 28, 2011 Notice Of Hearing 1100287
Signal Oil And Gas Company,
James E. Van Blaricum,
Steve Schoen,
D/B/A S.J.S Investments
October 31, 2011 Order Of Prohibition 1000013
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.

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