Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Gary Carter Jr., Believer'S Two Inc., Cheetah Machines Inc., Gary Carter Sr. |
April 01, 2011 | Temporary Order Of Prohibition | 1100006 |
| Udell W. Matthews, Matthews Logistics L.L.C. |
April 04, 2011 | Notice Of Hearing | 0900255 |
| Christos Fotiados | April 07, 2011 | Order Of Prohibition | 1000180 |
| Angelo Zenez | April 08, 2011 | Order Of Dismissal | 1100098 |
| Darryl Antonio Johnson | April 08, 2011 | Order Of Dismissal | 1100102 |
| Diane Glatfelter, K2 Unlimited Inc., Robert S. Anderson, E-Trust Clearing House |
April 08, 2011 | Third Amended Notice Of Hearing | 1000050 |
| George Edward Langlois | April 08, 2011 | Order Of Dismissal | 1100133 |
| Gerald V. Mccadd | April 08, 2011 | Order Of Dismissal | 1100174 |
| Gregory Arthur Pfaff | April 08, 2011 | Order Of Dismissal | 1100126 |
| Kimberly Sheri Smith | April 08, 2011 | Order Of Dismissal | 1100149 |
| Lisandro Gutierrez | April 08, 2011 | Order Of Dismissal | 1100082 |
| Michael Joseph Hovanec | April 08, 2011 | Order Of Dismissal | 1000470 |
| Michelle W. Starks | April 08, 2011 | Order Of Dismissal | 1100137 |
| Neville B. Allen | April 08, 2011 | Order Of Dismissal | 1100115 |
| Prince Joseph Manjooran | April 08, 2011 | Order Of Dismissal | 1100170 |
| Scott Christopher Loidl | April 08, 2011 | Order Of Dismissal | 1100168 |
| Spencer Elliott Williams | April 08, 2011 | Order Of Dismissal | 1100111 |
| Stephen Corley Carver | April 08, 2011 | Order Of Dismissal | 1100125 |
| Swift Financial Services | April 08, 2011 | Temporary Order Of Prohibition | 1000455 |
| Thomas John Hindes | April 08, 2011 | Order Of Dismissal | 1100122 |
| Debra Jo Otlewis | April 08, 2011 | Order Of Dismissal | 1100142 |
| John Eugene Roe | April 08, 2011 | Order Of Dismissal | 1100150 |
| Randall Jean Davis | April 08, 2011 | Order Of Dismissal | 1100105 |
| Susan Lynn Wolfe | April 08, 2011 | Order Of Dismissal | 1100132 |
| Jonathan Michael Fiorito | April 08, 2011 | Order Of Dismissal | 1100138 |
| George Douglas Bates | April 11, 2011 | Order Of Dismissal | 1100087 |
| Gregory Leo Schroer | April 11, 2011 | Order Of Dismissal | 1100090 |
| Jason Nicholas Slezak | April 11, 2011 | Order Of Dismissal | 1100120 |
| Kenneth Norman Young | April 11, 2011 | Order Of Dismissal | 1100124 |
| Marsha Maureen Peterson | April 11, 2011 | Order Of Dismissal | 1100113 |
| Spyglass Equity Systems Inc., Flatiron Systems L.L.C. |
April 11, 2011 | Order Of Prohibition | 0900145 |
| Terry Wayne Hansard | April 11, 2011 | Order Of Dismissal | 1100152 |
| Ryan J. Pierce | April 11, 2011 | Order Of Dismissal | 1100085 |
| Robert C. Bevis, Tooth Bright Inc. |
April 11, 2011 | Order Of Prohibition | 1000237 |
| David Sargent, A/K/A Smooth D. Styles Jr., D/B/A The Elite Construction Group |
April 13, 2011 | Temporary Order Of Prohibition | 1000070 |
| Randal James Gabaldon | April 13, 2011 | Order Of Dismissal | 1100134 |
| Tina Marie Adams | April 13, 2011 | Order Of Dismissal | 1100129 |
| F.P. Financial Services Inc., D/B/A Guidant Wealth Advisors |
April 14, 2011 | Consent Order Of Fine | 1000460 |
| Inverness Securities L.L.C. | April 14, 2011 | Consent Order Of Prohibition | 1000116 |
| Newbury Street Capital | April 14, 2011 | Consent Order Of Fine | 1000307 |
| David L. Hopkins | April 15, 2011 | Temporary Order Of Prohibition | 0800270 |
| Jason Bradley Schwieder | April 15, 2011 | Order Of Dismissal | 1100139 |
| Steven Kent | April 15, 2011 | Order Of Dismissal | 1100051 |
| Kery S. Hutner | April 19, 2011 | Corrected Notice Of Hearing | 1100194 |
| Michael Leslie Broadus | April 19, 2011 | Order Of Dismissal | 1100178 |
| Aurora Sportsmen'S Club | April 20, 2011 | Notice Of Hearing | 0800123 |
| Aurora Sportsmen'S Club | April 20, 2011 | Consent Order | 0800123 |
| Shearer Sampson & Associates | April 20, 2011 | Order Of Prohibition | 1100191 |
| Timothy John Roth | April 20, 2011 | Order Of Prohibition | 1100183 |
| Royal Alliance Associates Inc., Mark J. Baratl, Marcus M. Carbajal, Dirk C. Salberg |
April 22, 2011 | Amended Notice Of Hearing | 0800047 |
| Stephen Matthew Weber | April 27, 2011 | Order Of Dismissal | 1100157 |
| John T. Kelly, Carrowmore Builders Inc. |
April 29, 2011 | Consent Order Of Prohibition | 0900500 |
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