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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