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Name of Respondent(s) Date Type of Action File Number
Charles Foster March 02, 2016 Notice Of Hearing 1600067
Charles Hurley March 02, 2016 Notice Of Hearing 1600031
Lakshmi Wealth Management L.L.C.,
Himanshu Patel
March 02, 2016 Notice Of Hearing 1400579
Namsuk Kim March 02, 2016 Notice Of Hearing 1600049
Ketter Private Wealth L.L.C. March 15, 2016 Notice Of Hearing 1600209
Thomas Raymond Bieneman March 15, 2016 Notice Of Hearing 1600204
Pia Platinum Investment Advisors L.L.C. March 15, 2016 Notice Of Hearing 1600211
Steve Tracy March 16, 2016 Order Of Prohibition 1200148
Universal Capital Solutions,
Master Captial Solutions,
Ferrice Fernali
March 16, 2016 Notice Of Hearing 1400188
Judith Rimkus March 21, 2016 Notice Of Hearing 1600021
Marc Hubbard,
Sports Dimensions Inc.
March 21, 2016 Notice Of Hearing 1300134
Armando Pena,
Avir4 Trading Group L.L.C.
March 23, 2016 Notice Of Hearing 1200423
Robert James Batchen March 23, 2016 Order Of Revocation 1300130
Timothy James Fergus March 25, 2016 Amended Notice Of Hearing 1500256
Timothy James Fergus March 25, 2016 Consent Order 1500256
Judith Rimkus March 28, 2016 Consent Order 1600021
Richard F. Reynolds March 30, 2016 Summary Order Of Denial 1600100

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