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Search Criteria: Begin Date "10-01-2012" End Date "10-31-2012"
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Name of Respondent(s) Date Type of Action File Number
Dennis Michael Zator October 02, 2012 Notice Of Hearing 1200320
Prosper L.P.T.G.,
Limited Private Trade Group L.P.T.G.,
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 L.L.C.,
Inflniti Wind Technology L.L.C.,
Infiniti Enterprises Worldwide Inc.,
Infiniti Caribbean Wind. L.L.C.
October 15, 2012 Amended Notice Of Hearing 1100288
Prosper L.P.T.G.,
Limited Private Trade Group L.P.T.G.,
John Morgan Homan
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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