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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