Administrative Actions Search
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Search Criteria
| Name of Respondent(s) |
Date |
Type of Action |
File Number |
Raul Marrero,
Reeden Capital Group Inc.,
Multi Family Three L.L.C. |
July 01, 2008 |
Order Of Prohibition |
0600524 |
| Bartholomew "Bart" Andrew Newman |
July 03, 2008 |
Temporary Order Of Prohibition |
0800198 |
| Justin Albert Carroll |
July 08, 2008 |
Notice Of Hearing |
0800029 |
Legacy Capital Inc.,
A/K/A Legacy Trust Inc.,
A/K/A Legacy Trust Foundation,
Manna Humanitarian Foundation,
A/K/A Manna Trading Corp. Ltd,
Hal (Mick) Allan Mcleod,
Diane Sharon Rosiek |
July 09, 2008 |
Temporary Order Of Prohibition |
0700542 |
| Virgil Elson |
July 14, 2008 |
Consent Order Of Prohibition |
0700163 |
| William John Nasgovitz |
July 14, 2008 |
Notice Of Hearing |
0800264 |
Dean Waters,
Chris Gilley. |
July 16, 2008 |
Notice Of Hearing |
0700549 |
| Terry L. Edlen |
July 16, 2008 |
Notice Of Hearing |
0800284 |
| Alexi M. Bethel |
July 17, 2008 |
Notice Of Hearing |
0800280 |
First Geneva Capital,
Navigators International,
Texas Holdings,
Curtis Mann,
Benjamin Young,
James Spurger |
July 18, 2008 |
Temporary Order Of Prohibition |
0800100 |
Dean Waters,
Chris Gilley |
July 21, 2008 |
Consent Order Of Censure |
0700549 |
| Eric W. Mason |
July 21, 2008 |
Consent Order Of Suspension |
0800211 |
Benedicto Tolentino,
Cielo Tolentino,
Metropolis Investments Inc.,
Great Midwest Real Estate Inc.,
Bahai Management Co.,
Tolentino Acquisitions Group Inc.,
Continental Land Holdings L.L.C. |
July 23, 2008 |
Temporary Order Of Prohibition |
0700170 |
Traderight Corporation,
D/B/A Traderight Securities Inc.,
Christopher R. Wurtzinger,
Michael J. Rukujzo,
George Dragel,
John H. Lohmeier,
Rebecca A. Townsend |
July 24, 2008 |
Consent Order |
0700416 |
Douglas Brandau,
Ron Kimball |
July 25, 2008 |
Amended Notice Of Hearing |
0500387 |
| Michael A. Silverman |
July 28, 2008 |
Order Of Denial |
0800268 |
| George Warren Ingram |
July 31, 2008 |
Order Of Prohibition |
0600600 |
| U.B.S. Financial Services Inc. |
July 31, 2008 |
Notice Of Hearing |
0500612 |
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