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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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