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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Sarvajnya G. Mada, Smita M. Seetaram, Pocketinns Inc. |
December 05, 2018 | Consent Order | 1800076 |
William J. Milles, Donald J. Lutzko, Capital Energy Group L.L.C. |
December 06, 2018 | Temporary Order Of Prohibition | 1600748 |
Lpl Financial L.L.C. | December 06, 2018 | Consent Order | 1800307 |
Lpl Financial L.L.C. | December 06, 2018 | Notice Of Hearing | 1800307 |
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