ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "10-01-2011" End Date "10-31-2011"
| 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 Llc, 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 F 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 Ii | 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 |
| L.P.L. Financial L.L.C., F/K/A L.P.L. Financial Corporation |
October 24, 2011 | Consent Order | 1000096 |
| L.P.L. 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 |
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Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader