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Name of Respondent(s) Date Type of Action File Number
Axe Trades,
Dominick Jones
January 03, 2019 Final Order Of Prohibition 1700650
Adam Lopez January 04, 2019 Notice Of Hearing 1800493
Denzil Alan Locke,
Locke Financial Services Inc.
January 04, 2019 Consent Order 1700489
Denzil Alan Locke,
Locke Financial Services Inc.
January 04, 2019 Notice Of Hearing 1700489
Coby Young January 11, 2019 Order Of Prohibition 1800557
Robert C. Walberg,
Chartwell Strategies L.P.,
Chartwell Advisory Group L.L.C.
January 24, 2019 Temporary Order Of Prohibition 1800507

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