Administrative Actions Search
|Name of Respondent(s)||Date||Type of Action||File Number|
|Roth Financial Group Inc.,
Anthony Gerard Roth
|January 05, 2009||Consent Order||0700203|
|Hinsdale Associates Inc.||January 06, 2009||Notice Of Hearing||0700458|
|Robert J. Lunn,
Lunn Partners L.L.C.
|January 07, 2009||Second Amended Notice Of Hearing||0400750|
|First Geneva Capital,
Navigators International Co.,
Texas Holdings Inc.,
|January 12, 2009||Order Of Prohibition||0800100|
|Innotech Laboratories Inc.,
Brian L. Jones
|January 12, 2009||Order Of Prohibition||0700422|
|Wextrust Capital L.L.C.,
|January 12, 2009||Temporary Order Of Prohibition||0700454|
Jansma Builders Inc.
|January 13, 2009||Temporary Order Of Prohibition||0800433|
|Jay C. Zayer||January 15, 2009||Second Amended Notice Of Hearing||0500587|
|David B. Jordan,
Faith B. Jordan
|January 16, 2009||Temporary Order Of Prohibition||0600466|
|Francis Michael Evans||January 16, 2009||Consent Order||0800473|
|Accelerated Returns Inc.,
William R. Wragg
|January 20, 2009||Consent Order Of Prohibition||0500535|
|Ralph W. Russell,
R.W.R Capital Partners L.L.C.,
R.W.R. Capital Management L.L.C.
|January 20, 2009||Third Amended Notice Of Hearing||0700041|
Vitaliy M. Baka,
|January 21, 2009||Temporary Order Of Prohibition||0600055|
|Anthony A. James,
James Asset Advisory L.L.C.
|January 22, 2009||Temporary Order Of Prohibition||0800331|
|Lori J. Barnes||January 22, 2009||Corrected Consent Order Of Withdrawal||0800164|
|Alliance Leasing L.L.C.||January 23, 2009||Consent Order Of Prohibition||0700462|
|Brian H. Denyer,
D/B/A Batu Annum L.P.
|January 23, 2009||Temporary Order Of Prohibition||0700270|
|Morgan Keegan & Company Inc.,
R.M.K. Select Funds
|January 23, 2009||Order Of Dismissal||0500619|
|Prevention Laboratories L.L.C.||January 23, 2009||Consent Order||0700534|
|Richard N. Beleutz||January 26, 2009||Notice Of Hearing||0800051|
|Justin Albert Carroll||January 27, 2009||Order Of Revocation||0800029|
Monarch Visual Solutions Inc.
|January 28, 2009||Consent Order To Continue Temporary Order||0700461|
|John J. Parker||January 29, 2009||Consent Order Of Dismissal||0800292|
|Richard J. Massaux||January 29, 2009||Consent Order Of Dismissal||0800291|
|Wayne R. Hannah I I I,
T.S.G. Real Estate L.L.C.,
T.S.G. Capital Fund I L.L.C.,
Insight Real Estate L.L.C.,
Green Realty Trust Inc.,
Insight Green Reit Advisor L.L.C.
|January 30, 2009||Temporary Order Of Prohibition||0800157|
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