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Name of Respondent(s) Date Type of Action File Number
Irving Leo Blackman May 12, 2016 Notice Of Hearing 1500227
Lt Solutions Corp. May 13, 2016 Consent Order 1300192
Ketter Private Wealth L.L.C. May 16, 2016 Consent Order 1600209
Delores J. Mosier,
D.J. Mosier And Associate Inc.,
D.J. Mosier Financial Services Inc.,
Dlr Development L.L.C.,
Dlr (Can) L.L.C.
May 16, 2016 Notice Of Hearing 1200339
Hector Luis Concepcion,
Margaret Carrasco,
Elite Investment Group Ltd.,
Samson Investment Group L.L.C.
May 19, 2016 Temporary Order Of Prohibition 1600176
Pia Platinum Investment Advisors L.L.C. May 26, 2016 Order Of Dismissal 1600211
Charles Hurley May 26, 2016 Order Of Revocation 1600031
Namsuk Kim May 26, 2016 Order Of Revocation 1600049
Clemente Padilla Zarate,
Central Charlotte L.L.C.,
Business Trust Service Company Of America
May 27, 2016 Temporary Order Of Prohibition 1500550

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