Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Adley Husni Abdulwahab | April 01, 2009 | Consent Order | 0700042 |
| Anthony A. James, James Asset Advisory L.L.C. |
April 01, 2009 | Order Of Prohibition | 0800331 |
| A & O Life Fund L.L.C., A & O Bonded Life Settlements L.L.C., A & O Bonded Life Assets, A & O Life Fund Management L.L.C. |
April 01, 2009 | Consent Order | 0700042 |
| Charles Nyang'Iti | April 01, 2009 | Order Of Prohibition | 0700184 |
| Edward Louis Schainker | April 01, 2009 | Notice Of Hearing | 0900049 |
| Westor Capital Group Inc. | April 01, 2009 | Consent Order Of Fine | 0800298 |
| Philip Herrejon | April 03, 2009 | Notice Of Hearing | 0800576 |
| Legacy Financial Assurance Group Inc., James Scott Schlueter |
April 09, 2009 | Order Of Prohibition | 0800501 |
| Robert J. Lunn, Lunn Partners L.L.C. |
April 09, 2009 | Consent Order | 0400750 |
| Donald W. Kiley | April 15, 2009 | Notice Of Hearing | 0900075 |
| Lakeland Shores L.L.C., Barry Chessick, Anne Chessick, Nancy J. Sertich Kennedy |
April 16, 2009 | Temporary Order Of Prohibition | 0800567 |
| Insider Real Estate, Insider Real Estate Inc., Scanlan Realty & Investments Ltd., Christopher Scanlan, Rosalee Mueller |
April 17, 2009 | Second Amended Notice Of Hearing | 0700061 |
| James C. Ackerman | April 20, 2009 | Notice Of Hearing | 0800482 |
| Greenwich Financial Inc. | April 23, 2009 | Temporary Order Of Prohibition | 0800563 |
| Prevention Laboratories L.L.C. | April 23, 2009 | Amended Consent Order | 0700534 |
| William Martys, I.C.G. Inc. |
April 23, 2009 | Temporary Order Of Prohibition | 0800450 |
| David F. Brochu | April 29, 2009 | Notice Of Hearing | 0900079 |
| John Frazier, Media Concepts Inc. |
April 29, 2009 | Order Of Prohibition | 0700582 |
| J.P. Morgan Distribution Services | April 29, 2009 | Notice Of Hearing | 0900106 |
| Tag Securities Corp. | April 29, 2009 | Notice Of Hearing | 0900104 |
| M.D.B. Capital Group L.L.C. | April 29, 2009 | Notice Of Hearing | 0900100 |
| Imerge Advisors Inc., F/K/A Ebizbrokers Inc., Gloria Bayne |
April 30, 2009 | Order Of Prohibition | 0700553 |
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