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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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