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Name of Respondent(s) Date Type of Action File Number
Tracy Monti December 05, 2016 Notice Of Hearing 1400235
Keith D. Mcgregory December 06, 2016 Consent Order 1600509
Keith D. Mcgregory December 06, 2016 Notice Of Hearing 1600509
Derek Gordon December 07, 2016 Notice Of Hearing 1500457
Hector Luis Concepcion,
Elite Investment Group Ltd.
December 07, 2016 Amended Notice Of Hearing 1600176
Khorram Chaudhry December 08, 2016 Order Of Prohibition 1600359
Douglas Mcconnell December 29, 2016 Consent Order 1600252

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