Administrative Actions Search
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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Softtec Products L.P., D.B.A. Slip Doctors |
March 19, 2018 | Consent Order And Fine | 1800044 |
James A. Nickels, The Fiscal Concierge L.L.C., The Fiscon Manager Inc. |
March 19, 2018 | Fine Order Of Prohibition | 1700055 |
Mega Entertainment I I L.L.C., Alex Field, Gary Fishkin, Edward Renko |
March 19, 2018 | Consent Order Of Prohibition | 1000168 |
Capital Development Group L.L.C., Eag Capital Holdings Inc., Alex Field, Gary Fishkin, Edward Renko |
March 19, 2018 | Consent Order Of Prohibition | 0900017 |
Simon Greene Investment Advisory Firm, F.K.A. Zaniskari Management, Xavier Honablue |
March 26, 2018 | Order Of Prohibition | 1200268 |
Andrew S. Kang | March 29, 2018 | Notice Of Hearing | 1200094 |
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