Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Walter Rockwell, Jim Vincent A/K/A Jim Vateli, Chicago Visitor Hospitality Club Inc. |
July 02, 2010 | Temporary Order Of Prohibition | 0800498 |
| William Martys, I.C.G. Inc. |
July 02, 2010 | Notice Of Hearing | 0800450 |
| William K. Phillips | July 02, 2010 | Consent Order Of Withdrawal | 1000019 |
| Jim Crofoot, Asset Management Alliance L.L.C. |
July 06, 2010 | Temporary Order Of Prohibition | 1000281 |
| Conrad A. Schwocha | July 07, 2010 | Consent Order | 0800176 |
| F.R.M.H L.L.C. | July 07, 2010 | Notice Of Hearing | 0900175 |
| Hassan Washington | July 07, 2010 | Notice Of Hearing | 0900294 |
| Robert R. Petersen, First U.S. Equities Inc., First Federal Equities Inc. |
July 08, 2010 | Consent Order To Continue Temporary | 0900498 |
| Ernest Noy, Evanston Business Management Group Inc., A/K/A Evanston Consultants Funding Group Inc. |
July 12, 2010 | Temporary Order Of Prohibition | 0900027 |
| Jerry Miller, E.R. Urgent Care Management Co. Inc., E.R. Urgent Care Holdings Inc. |
July 12, 2010 | Notice Of Hearing | 0800388 |
| Lpl Financial Corporation, F/K/A Linsco/Private Ledger Corporation |
July 12, 2010 | Consent Order | 0800381 |
| Lpl Financial Corporation, F/K/A Linsco/Private Ledger Corporation |
July 12, 2010 | Notice Of Hearing | 0800381 |
| Charles H. Landwer, Accurate Financial Group Ltd |
July 13, 2010 | Order Of Prohibition And Fine | 0600060 |
| Mega Entertainment Group I I L.L.C., Alex Field, Gary Fishkin, Edward Renko |
July 13, 2010 | Notice Of Hearing | 1000168 |
| Jeffery D. Hum, The Hum Group |
July 14, 2010 | Temporary Order Of Prohibition | 0800543 |
| Fabio B. Herrera | July 15, 2010 | Consent Order | 0700210 |
| John Burns, A/K/A John T. Burns I I I |
July 15, 2010 | Order Of Prohibition | 1000153 |
| Howard Richmond | July 16, 2010 | Order Of Prohibition | 0900524 |
| National Opportunities L.L.C., World Wide Marketing And Associates L.L.C. |
July 16, 2010 | Cease And Desist | 1000032 |
| American Constantine Insurance Company Limited | July 21, 2010 | Temporary Order Of Prohibition | 1000094 |
| Paradigm Wealth Management Inc. | July 22, 2010 | Consent Order Of Withdrawal | 1000131 |
| Arthur Lin, Gloria Lin |
July 23, 2010 | Notice Of Hearing | 1000096 |
| Union Trust Credit Services | July 23, 2010 | Temporary Order Of Prohibition | 1000241 |
| Lincoln National Financial Group | July 23, 2010 | Temporary Order Of Prohibmon | 1000176 |
| Metlife Securities Inc. | July 26, 2010 | Order Of Dismissal | 0500451 |
| Metlife Securities Inc. | July 27, 2010 | Consent Order | 0500696 |
| Basalt Capital L.L.C. | July 28, 2010 | Order Of Suspension | 1000129 |
| Rosand Enterprises Inc., Robert R. Anderson, Paul V. Rossetti |
July 28, 2010 | Temporary Order Of Prohibition | 0800549 |
| First Legacy Securities L.L.C. | July 29, 2010 | Corrected Order Of Revocation | 1000143 |
| Ryan N. Shubrn | July 29, 2010 | Notice Of Hearing | 1000251 |
| Tcadvisors Network Inc. | July 29, 2010 | Corrected Order Of Revocation | 1000110 |
| Senior Financial Strategies Inc., D/B/A Pinnacle Investment Advisers, Thomas N. Cooper, Susan B. Cooper |
July 30, 2010 | Amended Notice Of Hearing | 0800064 |
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