ADMINISTRATIVE ACTIONS SEARCH
Search Criteria: Begin Date "10-01-2012" End Date "10-31-2012"
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Dennis Michael Zator | October 02, 2012 | Notice Of Hearing | 1200320 |
| Prosper Lptg, Limited Private Trade Group, Lptg, John Morgan Homan |
October 04, 2012 | Temporary Order Of Prohibition | 1200319 |
| Brian Curtis Ullrich | October 05, 2012 | Order Of Dismissal | 1200211 |
| Monica Hernandez | October 05, 2012 | Order Of Prohibition | 1200221 |
| Richard J. Coleman | October 09, 2012 | Consent Order | 1200071 |
| Daniel Leland Chiddister | October 11, 2012 | Notice Of Hearing | 1200332 |
| Basis Financial L.L.C. | October 12, 2012 | Order Of Cancellation | 1200334 |
| Karen S. Revelle, Brett K. Revelle, Joseph J. Revelle, Revelle Resources Inc. |
October 12, 2012 | Consent Order | 1000216 |
| Steven Patrick Ford | October 12, 2012 | Consent Order Of Dismissal | 1200294 |
| Carl Moose, Infiniti Wind Technology N.A Llc, Inflniti Wind Technology Llc, Infiniti Enterprises Worldwide Inc., Infiniti Caribbean Wind. Llc |
October 15, 2012 | Amended Notice Of Hearing | 1100288 |
| Prosper Lptg, Limited Private Trade Group, Lptg, John Morgan Roman |
October 17, 2012 | Notice Of Hearing | 1200319 |
| Mark David Webb | October 18, 2012 | Consent Order Of Dismissal | 1200291 |
| Raymond Thomas Clark | October 18, 2012 | Notice Of Hearing | 1200331 |
| Silvano C. Ramirez, Milagros D.S.J.B. L.L.C |
October 19, 2012 | Notice Of Hearing | 1000465 |
| Silvano C. Ramirez, Milagros D.S.J.B. L.L.C. |
October 19, 2012 | Consent Order To Continue Temporary Order | 1000465 |
| Jose M. Lopez | October 23, 2012 | Order Of Prohibition | 1000465 |
| Dennis Michael Zator | October 24, 2012 | Consent Order Of Dismissal | 1200320 |
| Dennis Michael Zator | October 24, 2012 | Consent Order Of Dismissal | 1200290 |
| Leonard V. Fox Jr. | October 24, 2012 | Consent Order Of Withdrawal | 1200297 |
| Michael R. Roeser & Associates Inc, D/B/A Bedford Financial Group Inc. |
October 24, 2012 | Consent Order Of Fine | 1200236 |
| Russell Armstrong, Government Benefit Advisors L.L.C |
October 24, 2012 | Temporary Order Of Prohibtion | 1200262 |
| Scott Mikros, Mikros Economics Hedge Fund L.L.C, Risk Management International L.L.C |
October 29, 2012 | Order To Terminate Order Of Prohibition | 0400639 |
| Anne Patricia Cameron | October 30, 2012 | Second Corrected Notice Of Hearing | 1200288 |
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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