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Search Criteria: Begin Date "09-01-2007" End Date "09-30-2007"
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Name of Respondent(s) Date Type of Action File Number
Klaus Alois Robert Offenbacher September 04, 2007 Consent Order Of Dismissal 0700259
Doley Securities L.L.C. September 12, 2007 Consent Order Of Fine 0600620
Michael W. Brinton September 12, 2007 Notice Of Hearing 0700275
Traderight Corp.,
D/B/A Traderight Securities Inc.,
Christopher R. Wurtzinger,
Michael J. Rukujzo,
George Dragel,
John H. Lohmeier,
Rebecca A. Townsend
September 12, 2007 Notice Of Hearing 0700416
Dawn A. Martin September 13, 2007 Notice Of Hearing 0700397
Anthony T. Coniglio September 14, 2007 Notice Of Hearing 0700274
1St Global Capital Corp. September 18, 2007 Consent Order Of Censure 0600642
Brian E. Mclain September 21, 2007 Notice Of Hearing 0700396
John F. Kavalec September 24, 2007 Temporary Order Of Prohibition And Suspension 0600386
S.K.B. Consulting L.L.C.,
Scott A. Smith
September 25, 2007 Order Of Prohibition 0700216
Alliance Financial Services Of Illinois Ltd.,
Burton Stern
September 26, 2007 Temporary Order Of Prohibition 0300674
Craig L. Josephberg September 27, 2007 Consent Order Of Withdrawal 0600490
Albert Lukasik,
F/K/A Albert Jack Lucente,
Sally Lukasik,
A/K/A Sally Lucente,
D/B/A Dragon Slayer Investment Strategists
September 28, 2007 Notice Of Hearing 0600196
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