Administrative Actions Search
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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Namon Brown Jr., Brown Asset Management |
August 02, 2010 | Temporary Order Of Prohibition | 0900538 |
Bernardo Misseri | August 02, 2010 | Consent Order Of Withdrawal Of Application | 1000230 |
Chuck A. Roberts | August 04, 2010 | Consent Order Of Dismissal | 1000087 |
Frantz E. Vaneus | August 04, 2010 | Temporary Order Of Prohibition | 1000238 |
Kevin O. Pritchett, Kevin Pritchett & Associates Retirement Planning Inc. |
August 04, 2010 | Consent Order | 0600357 |
Stephen G. Condos | August 04, 2010 | Consent Order Of Dismissal | 1000086 |
Leroy J. Wright, Wright Capital Partners L.L.C. |
August 05, 2010 | Amended Notice Of Hearing | 0800485 |
Tom M. Smith, Source Dynamics Inc. |
August 05, 2010 | Notice Of Hearing | 0900380 |
Raymond Mcclinton, Pencrest Corporation |
August 05, 2010 | Consent Order | 0900453 |
Chi Tu Chow | August 06, 2010 | Consent Order Of Dismissal | 1000160 |
G.H.P. Capital Corp. | August 06, 2010 | Notice Of Hearing | 0900508 |
Jim Crofoot | August 06, 2010 | Order To Vacate | 1000281 |
Richard M. Spriggs, Giraffe Logistics L.L.C. |
August 09, 2010 | Temporary Order Of Prohibition | 1000081 |
Asset Management Alliance L.L.C. | August 12, 2010 | Notice Of Hearing | 1000281 |
Marcin Malarz, Jacek Sienkiewicz, Malarz Equity Investments L.L.C., Malarz Equity Investment Inc., Invision Investment L.L.C. |
August 12, 2010 | Temporary Order Of Prohibition | 1000096 |
Stanford Group Associates | August 17, 2010 | Temporary Order Of Prohibition | 0800594 |
Basalt Capital L.L.C. | August 18, 2010 | Order Lifting Suspension | 1000129 |
Asset Management Alliance L.L.C. | August 19, 2010 | Order To Dismiss | 1000281 |
Ephren Taylor, City Capital Corporation, A/K/A City Capital Corp, Clean Sweep Holdings Group L.L.C. |
August 20, 2010 | Consent Order To Continue Temporary | 1000196 |
Lawience "Lee" Loomis, Loomis Wealth Solutions L.L.C. |
August 20, 2010 | Temporary Order Of Prohibition | 0800437 |
Ernest Noy, Evanston Business Management Group Inc., A/K/A Evanston Consultants Funding Group Inc. |
August 23, 2010 | Order Of Prohibition | 0900027 |
Jeffery D. Hum, The Hum Group |
August 23, 2010 | Order Of Prohibition | 0800543 |
Ronald R. Kelly, 21St Sentry Technologies Inc., Futurecom Global Inc. |
August 23, 2010 | Order Of Prohibition | 0900194 |
Walter Rockwell, Jim Vincent A/K/A Jim Vateli, Chicago Visitor Hospitality Club Inc. |
August 23, 2010 | Order Of Prohibition | 0800498 |
American Constantine Insurance Company Limited | August 24, 2010 | Notice Of Hearing | 1000094 |
Larry Lavoice | August 24, 2010 | Notice Of Hearing | 1000140 |
Lincoln National Financial Group | August 24, 2010 | Order Of Prohibition | 1000176 |
Mega Entertainment Group I I L.L.C., Alex Field, Gary Fishkin, Edward Renko |
August 24, 2010 | Amended Notice Of Hearing | 1000168 |
Regions Financial Services, A/K/A Lexmark Resources Inc. |
August 24, 2010 | Order Of Prohibition | 1000220 |
Union Trust Credit Services | August 24, 2010 | Order Of Prohibition | 1000241 |
Travis M. Oliver, Diversified Liquid Asset Holdings L.L.C. |
August 25, 2010 | Notice Of Hearing | 1000227 |
William E. Milam | August 25, 2010 | Notice Of Hearing | 0800603 |
Algird M. Norkus, Financial Update Inc. |
August 27, 2010 | Temporary Order Of Prohibition | 1000341 |
Paul J. Cirigliano, A/K/A Paul Cirano, Panoptic Corporation |
August 27, 2010 | Temporary Order Of Prohibition | 1000091 |
Asia Pacific Energy Inc. | August 30, 2010 | Temporary Order Of Prohibition | 0900086 |
Computer Handholders Inc., D/B/A The Qinsight Group |
August 30, 2010 | Notice Of Hearing | 1000185 |
Evolve Securities Inc. | August 31, 2010 | Notice Of Hearing | 0900433 |
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