Administrative Actions Search
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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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