Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Karen S. Revelle, Brett K. Revelle, Joseph J. Revelle, Revelle Resources Inc. |
June 01, 2012 | Notice Of Hearing | 1000216 |
| Legend Merchant Group Inc. | June 01, 2012 | Order Of Cancellation | 1200118 |
| Mohammed I. Khan, Ink Global Consulting Inc., Ink Global L.L.C., Ink Global Capital L.L.C. |
June 01, 2012 | Amended Notice Of Hearing | 1000399 |
| Morgan Asset Management Inc., Morgan Keegan & Company Inc. |
June 04, 2012 | Notice Of Hearing | 0700578 |
| Kevin Gerald Kolz | June 07, 2012 | Order Of Prohibition And Revocation | 1200135 |
| Andrew Michael Allison | June 11, 2012 | Notice Of Hearing | 1200206 |
| Armand Bernard Mccarroll | June 11, 2012 | Notice Of Hearing | 1200191 |
| Brian Curtis Ullrich | June 11, 2012 | Notice Of Hearing | 1200211 |
| Charles Stephen Williams | June 11, 2012 | Notice Of Hearing | 1200216 |
| David Joseph Poznanski | June 11, 2012 | Notice Of Hearing | 1200183 |
| Eric Berg | June 11, 2012 | Notice Of Hearing | 1200181 |
| Fernaldo Corneilus Miller | June 11, 2012 | Notice Of Hearing | 1200177 |
| Franklin Ray Mooney | June 11, 2012 | Notice Of Hearing | 1200217 |
| Gerald Joseph Anderson | June 11, 2012 | Notice Of Hearing | 1200208 |
| James M. Benages | June 11, 2012 | Notice Of Hearing | 1200178 |
| James Edwin Stolte | June 11, 2012 | Notice Of Hearing | 1200215 |
| Jamie Lynn Jasinski | June 11, 2012 | Notice Of Hearing | 1200204 |
| Jeremy Scott Goldman | June 11, 2012 | Notice Of Hearing | 1200202 |
| John Joseph Betterman | June 11, 2012 | Notice Of Hearing | 1200188 |
| Lawrence Calvin Mason Jr. | June 11, 2012 | Notice Of Hearing | 1200205 |
| Lois Marie Wollney | June 11, 2012 | Notice Of Hearing | 1200192 |
| Michael Dean Farnsworth | June 11, 2012 | Notice Of Hearing | 1200175 |
| Michael G. Murray | June 11, 2012 | Notice Of Hearing | 1200196 |
| Patrick Michael Malcolm | June 11, 2012 | Notice Of Hearing | 1200197 |
| Peter Richard Bukowski | June 11, 2012 | Notice Of Hearing | 1200200 |
| Rhona Ellen Vogel | June 11, 2012 | Notice Of Hearing | 1200186 |
| Richard Christopher Riley | June 11, 2012 | Notice Of Hearing | 1200218 |
| Robert Mather Harbour | June 11, 2012 | Notice Of Hearing | 1200209 |
| Roger Lawrence Wohlner | June 11, 2012 | Notice Of Hearing | 1200194 |
| Steven Kent | June 11, 2012 | Notice Of Hearing | 1200189 |
| Steven Robert Trimble | June 11, 2012 | Notice Of Hearing | 1200203 |
| William Craft Hansing | June 11, 2012 | Notice Of Hearing | 1200210 |
| William James Harris | June 11, 2012 | Notice Of Hearing | 1200190 |
| William Laluz Jr. | June 11, 2012 | Notice Of Hearing | 1200187 |
| William Thomas Read I I I | June 11, 2012 | Notice Of Hearing | 1200219 |
| Matthew Sapaula, Matthew Sapaula Inc. |
June 12, 2012 | Notice Of Hearing | 0900415 |
| Rbc Capital Markets Corporation | June 12, 2012 | Consent Order | 0800614 |
| Rbc Capital Markets Corporation | June 12, 2012 | Notice Of Hearing | 0800614 |
| Steve Axelbaum, Rosalie Barrett, Brian Bucher, Vickie Ham, Astoria Gardens & Rehab Center L.L.C., Astoria Gardens L.L.C., The Investment Group |
June 15, 2012 | Temporary Order Of Prohibition | 1100445 |
| Anthony Joseph Baldassano | June 18, 2012 | Notice Of Hearing | 1200198 |
| Ryan Matthew Poss | June 18, 2012 | Notice Of Hearing | 1200182 |
| Morgan Asset Management Inc., Morgan Keegan & Company Inc. |
June 19, 2012 | Consent Order | 0700578 |
| Jeremy Scott Goldman | June 20, 2012 | Order Of Dismissal | 1200202 |
| Roger Lawrence Wohlner | June 20, 2012 | Order Of Dismissal | 1200194 |
| William Craft Hansing | June 20, 2012 | Order Of Dismissal | 1200210 |
| William James Harris | June 20, 2012 | Order Of Dismissal | 1200190 |
| Yitzhok Alexander Fox | June 20, 2012 | Order Of Dismissal | 1100406 |
| Eric Berg | June 26, 2012 | Order Of Dismissal | 1200181 |
| Anthony Joseph Baldassano | June 28, 2012 | Order Of Dismissal | 1200198 |
| James M. Benages | June 28, 2012 | Order Of Dismissal | 1200178 |
| Rhona Ellen Vogel | June 28, 2012 | Order Of Dismissal | 1200186 |
| Richard Christopher Riley | June 28, 2012 | Order Of Dismissal | 1200218 |
| William Thomas Read I I I | June 28, 2012 | Order Of Dismissal | 1200219 |
| James Edwin Stolte | June 29, 2012 | Order Of Dismissal | 1200215 |
| Lois Marie Wollney | June 29, 2012 | Order Of Dismissal | 1200192 |
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