Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Arthur Lin | April 01, 2010 | Temporary Order Of Prohibition & Suspension | 1000096 |
| Michael C. Kizman | April 01, 2010 | Consent Order Of Dismissal | 0900379 |
| Christopher B. Lynn | April 02, 2010 | Notice Of Hearing | 1000127 |
| Francois E. Durmaz, Robert C. Pribilski, U.S.A. Retirement Management Services Inc. |
April 02, 2010 | Order Of Prohibition | 0900509 |
| John C. Cowin | April 02, 2010 | Notice Of Hearing | 1000022 |
| Pernell Edwards Clark | April 02, 2010 | Temporary Order Of Prohibition | 1000156 |
| Richard Gonski, Domer Properties |
April 02, 2010 | Temporary Order Of Prohibition | 0900372 |
| Layline Capital Management L.L.C. | April 05, 2010 | Notice Of Hearing | 1000130 |
| Edward N. Colburn Jr | April 06, 2010 | Order Of Dismissal | 1000017 |
| Phil Lorezca, X.L. Gum |
April 07, 2010 | Order Of Prohibition | 1000002 |
| Leroy J. Wright, Wright Capital Partners L.L.C. |
April 08, 2010 | Notice Of Hearing | 0800485 |
| Universal Finance | April 08, 2010 | Order Of Prohibition | 1000048 |
| U.S. Filing Services | April 08, 2010 | Order Of Prohibition | 1000068 |
| Basalt Capital L.L.C. | April 09, 2010 | Notice Of Hearing | 1000129 |
| Brimberb & Co. | April 09, 2010 | Notice Of Hearing | 1000101 |
| D. J. St. German Co. Inc. | April 09, 2010 | Notice Of Hearing | 1000102 |
| First Legacy Securities L.L.C. | April 09, 2010 | Notice Of Hearing | 1000143 |
| Paradigm Wealth Management Inc. | April 09, 2010 | Notice Of Hearing | 1000131 |
| Ronald C. Kemp | April 09, 2010 | Consent Order Of Dismissal | 0900360 |
| Canterbury Consulting Incorporated | April 12, 2010 | Notice Of Hearing | 1000105 |
| Credit Hub Financial Services | April 12, 2010 | Order Of Prohibition | 1000084 |
| Reuters Transaction Services L.L.C. | April 12, 2010 | Notice Of Hearing | 1000104 |
| Robert R. Petersen, First U.S. Equities Inc., First Federal Equities Inc. |
April 12, 2010 | Temporary Order Of Prohibition | 0900498 |
| T.D. Wealth Management Services Inc. | April 12, 2010 | Notice Of Hearing | 1000103 |
| Andy Kiel, United Property Investments L.L.C., Phynance Ltd. |
April 14, 2010 | Temporary Order Of Prohibition | 0900162 |
| Logisol Inc., Belal K. Faruki, Samina B. Faruki |
April 14, 2010 | Notice Of Hearing | 0900024 |
| Phillip Herrejon | April 14, 2010 | Consent Order Of Prohibition | 0800576 |
| James U. Dodge | April 15, 2010 | Temporary Order Of Prohibition | 1000063 |
| John T. Kelly, Michael P. Courtney, Carrowmore Builders A |
April 15, 2010 | Notice Of Hearing | 0900500 |
| Advance Equities Inc. | April 16, 2010 | Notice Of Hearing | 1000109 |
| Capital Guardian L.L.C. | April 16, 2010 | Notice Of Hearing | 1000122 |
| Chris Zander, Amy Zander, Zander'S Old Town Brewery Inc., Zander Management L.L.C. |
April 16, 2010 | Order Of Prohibition | 0900470 |
| Tcadvisors Network Inc. | April 16, 2010 | Notice Of Hearing | 1000110 |
| Brian Bodie, Mortgage Desk Inc., Duke Lebeau Inc., Prestar Financial |
April 19, 2010 | Notice Of Hearing | 0800052 |
| City State Financial | April 19, 2010 | Order Of Prohibition | 1000079 |
| Internet Speedway Inc. | April 19, 2010 | Summary Order To Cease And Desist | 0900471 |
| Richard J. Osty, A/K/A Ostapowicz, Ronald Moore, R.O. Financial Group L.L.C., R.K.M Inc., Heritage Community Homes Inc., Building Design System L.L.C. |
April 19, 2010 | Notice Of Hearing | 0900540 |
| Turboatm.Com, Bo Small |
April 19, 2010 | Summary Order To Cease And Desist | 1000144 |
| James L. Paris Jr | April 20, 2010 | Notice Of Hearing | 1000029 |
| The Lease Coach, Dale Willerton |
April 20, 2010 | Summary Order To Cease And Desist | 1000085 |
| Michael G. Brcik Jr., Mary Weber, A/K/A Mary Brcik, Full Moon Development L.L.C. |
April 21, 2010 | Temporary Order Of Prohibition | 0900335 |
| Logisol Inc., Belal K. Faruki, Samina B. Faruki |
April 22, 2010 | Consent Order To Continue Temporary Order | 0900024 |
| Primevest Financial Services Inc. | April 22, 2010 | Consent Order | 0900257 |
| Stephen G. Condos | April 22, 2010 | Notice Of Hearing | 1000086 |
| Fabian Cesar Seyller | April 26, 2010 | Notice Of Hearing | 1000036 |
| Christopher B. Lynn | April 27, 2010 | Consent Order Of Fine | 1000127 |
| Chuck A. Roberts | April 28, 2010 | Amended Notice Of Hearing | 1000087 |
| H.J.M. International Trading Ltd., Humberto J. Martinez |
April 29, 2010 | Temporary Order Of Prohibition | 0800510 |
| Dal Santo Capital Management L.L.C., The Lucid Fund L.L.C., Robert Dal Santo, Samuel Dal Santo, David Dal Santo |
April 30, 2010 | Consent Order | 0700029 |
| David J. Hernandez, Nextstep Financial Serv Ices Inc. |
April 30, 2010 | Temporary Order Of Prohibition | 0900043 |
| Gary M. Lumpp, Mind'S I Productions |
April 30, 2010 | Notice Of Hearing | 0900354 |
| John L. Ong | April 30, 2010 | Consent Order Of Dismissal | 0900527 |
| Merrill Lynch Pierce Fenner & Smith Incorporated | April 30, 2010 | Consent Order | 0800256 |
| Merrill Lynch Pierce Fenner & Smith Incorporated | April 30, 2010 | Notice Of Hearing | 0800256 |
| National Opportunities L.L.C., World Wide Marketing And Associates L.L.C. |
April 30, 2010 | Summary Order To Cease And Desist | 1000032 |
| Pernell Edwards Clark | April 30, 2010 | Notice Of Hearing | 1000156 |
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