Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Robert R. Petersen, First U.S. Equities Inc., First Federal Equities Inc. |
November 04, 2013 | Consent Order | 0900498 |
| Brian Knight, Knight Asset Management L.L.C. |
November 05, 2013 | Notice Of Hearing | 0900325 |
| Ryan Matthew Poss | November 08, 2013 | Order Of Dismissal | 1200182 |
| Frank E. Brickell | November 12, 2013 | Notice Of Hearing | 1300385 |
| Mogavero Lee & Co. Inc. | November 12, 2013 | Order Of Cancellation | 1300359 |
| Leslie A. Schaller | November 12, 2013 | Demand Letter | 0500083 |
| Bikini Vending Inc., A/K/A 360 Wireless Inc., Edward Bevilacqua |
November 12, 2013 | Demand Letter | 0400211 |
| Brian F. Gimelson | November 12, 2013 | Demand Letter | 0400287 |
| Felix L. Daniel Sr. | November 12, 2013 | Demand Letter | 0600670 |
| Timothy Shawn Dunn | November 12, 2013 | Demand Letter | 0700512 |
| Barry Chessick | November 12, 2013 | Demand Letter | 0800567 |
| Hassan Washington | November 12, 2013 | Demand Letter | 0900294 |
| Bruce E. Carlson | November 12, 2013 | Demand Letter | 0400068 |
| David Matthew Lisnek | November 13, 2013 | Temporary Order Of Suspension | 1300411 |
| Guy B. Deemer | November 18, 2013 | Notice Of Hearing | 1300396 |
| Robert S. Gesdorf | November 19, 2013 | Notice Of Hearing | 1300414 |
| William Edgar Sharp | November 20, 2013 | Demand Letter | 0400679 |
| Jeffrey A. Batio, Armada Systems L.L.C. |
November 21, 2013 | Temporary Order Of Prohibition | 1200299 |
| Shawn D. Baldwin, Capital Management Group Securities L.L.C., C.M.G. Institutional Trading L.L.C. |
November 26, 2013 | Order Of Prohibition | 0900290 |
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