Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| John H. Lohmeier | August 01, 2008 | Consent Order | 0700416 |
| U.B.S. Financial Services Inc. | August 01, 2008 | Order Of Dismissal | 0500612 |
| Malory Investments L.L.C., Ronald Stein, Stephen Strauss, Kenneth Eugene Zellmer Jr., Sean Zarinegar, Capital Guardian Inc., Blake William Wilson, Christine Fenn |
August 04, 2008 | Order | 0700319 |
| William D. Mattes Sr. | August 04, 2008 | Notice Of Hearing | 0800115 |
| Brian L. Hopkinson | August 05, 2008 | Consent Order Of Prohibition | 0700301 |
| John J. Parker | August 05, 2008 | Notice Of Hearing | 0800292 |
| Richard J. Massaux | August 05, 2008 | Notice Of Hearing | 0800291 |
| Terrence L. Donati, A/K/A Terry L. Donati, Amy Donati, Brighton Hill Enterprise Inc., D/B/A Northwest Business Brokers |
August 06, 2008 | Summary Order Of Revocation | 0800276 |
| Westor Capital Group Inc. | August 06, 2008 | Notice Of Hearing | 0800298 |
| Matthew G. Sapaula | August 08, 2008 | Notice Of Hearing | 0800274 |
| K.W. Brown Investments | August 11, 2008 | Order Of Cancellation | 0800329 |
| Timothy Shawn Dunn, Moneyfacts Inc. |
August 13, 2008 | Notice Of Hearing | 0700512 |
| Alexi M. Bethel | August 18, 2008 | Consent Order Of Withdrawal | 0800280 |
| David B. Elliott | August 18, 2008 | Consent Order Of Dismissal | 0600655 |
| John D. Shepherd | August 18, 2008 | Consent Order Of Dismissal | 0600658 |
| American Fund Inc., Fabian C. Harris |
August 19, 2008 | Corrected Temporary Order Of Prohibition | 0800354 |
| Advanced Ultrasound Imaging Inc., Brian Hunt, Steve K. Jablon |
August 19, 2008 | Notice Of Hearing | 0700349 |
| Charles Nyang'Iti | August 19, 2008 | Temporary Order Of Prohibition | 0700184 |
| E.P.S. Inc., A/K/A Electronic Post Systems Inc., William Abt |
August 19, 2008 | Notice Of Hearing | 0700349 |
| Prevention Laboratories L.L.C., Jerry A. Douglas |
August 19, 2008 | Notice Of Hearing | 0700534 |
| Real Life Save-R., Robert R. Mclaren |
August 19, 2008 | Notice Of Hearing | 0700349 |
| Imelda Lomibao | August 20, 2008 | Consent Order Of Revocation | 0800116 |
| Hugh F. Denison | August 22, 2008 | Notice Of Hearing | 0800263 |
| Juan Cahue | August 22, 2008 | Amended Temporary Order Of Prohibition | 0600524 |
| Kevin D. Clark | August 22, 2008 | Notice Of Hearing | 0800262 |
| Paul T. Beste | August 22, 2008 | Notice Of Hearing | 0800265 |
| Phillip S. Eggers | August 22, 2008 | Notice Of Hearing | 0800340 |
| Ricky Boros, A/K/A Vincent Kwiatkowski, Compania De Minera De Los Tres Amigos, North American Mining Ventures Inc. |
August 22, 2008 | Temporary Order Of Prohibition | 0600665 |
| William John Nasgovitz | August 25, 2008 | Consent Order Of Dismissal | 0800264 |
| Ultimate Fantasy Football League, Doug Diershow |
August 26, 2008 | Order Of Prohibition | 0700517 |
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