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Name of Respondent(s) Date Type of Action File Number
Lcr Asset Management L.L.C. February 06, 2017 Notice Of Hearing 1700023
Lawson Financial Corporation February 06, 2017 Order Of Cancellation 1700107
Healthquant Associates L.L.C. February 06, 2017 Notice Of Hearing 1700031
Deamtteo Monness L.L.C. February 06, 2017 Notice Of Hearing 1700064
Schroder Fund Advisors L.L.C. February 06, 2017 Notice Of Hearing 1700036
Tracy Monti February 08, 2017 Amended Notice Of Hearing 1400235
Dcl Capital L.L.C.,
Sean L. Moran
February 10, 2017 Consent Order 1500116
Dcl Capital L.L.C.,
Sean L. Moran
February 10, 2017 Notice Of Hearing 1500116
Softtec Products L.P.,
D.B.A. Slip Doctors
February 10, 2017 Consent Order Of Censure 1600773
Softtec Products L.P.,
D.B.A. Slip Doctors
February 10, 2017 Notice Of Hearing 1600773
Lcr Asset Management L.L.C. February 17, 2017 Consent Order 1700023
Dematteo Monness L.L.C. February 17, 2017 Consent Order 1700064
Taino Consortium Corp.,
Carmen Rivera
February 17, 2017 Order Of Prohibition 1600826
Armando Pena,
Avir4 Trading Group L.L.C.
February 21, 2017 Amended Notice Of Hearing 1200423
Aihg Usa Inc.,
Frank Torres,
Oscar Cook
February 23, 2017 Temporary Order Of Prohibition 1600533
Mohammed Adnan Khan February 23, 2017 Order Of Prohibition & Fine 1300421
Healthquant Associates L.L.C. February 27, 2017 Consent Order 1700031

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