Administrative Actions Search
|Name of Respondent(s)||Date||Type of Action||File Number|
|Richard F. Beston,
John W. Branch,
Ten X Holdings L.L.C.,
Rainmaker Securities L.L.C.
|October 05, 2016||Consent Order||1300406|
|Coby Young||October 12, 2016||Temporary Order Of Prohibition||1600229|
|Khorram Chaudhry||October 12, 2016||Temporary Order Of Prohibition||1600359|
Advanced Option Capital Ltd.,
|October 13, 2016||Final Order Of Prohibition||1600283|
First Class Investments L.L.C.
|October 14, 2016||Order Of Prohibition||1600238|
|Lakshmi Wealth Management L.L.C.,
|October 17, 2016||Consent Order||1400579|
Avir4 Trading Group L.L.C.
|October 24, 2016||Amended Notice Of Hearing||1200423|
|Roux Holdings L.L.C.,
|October 27, 2016||Notice Of Hearing||1400187|
|Universal Capital Solutions,
Master Capital Solutions,
|October 28, 2016||Amended Notice Of Hearing||1400188|
|Randall J. Sevcik,
Elite Group Financial L.L.C.
|October 31, 2016||Consent Order||1400460|
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.