Administrative Actions Search
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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Cecil Allen Watkins, Housing Resources Center Of Indiana Inc. |
August 01, 2012 | Consent Order | 0900237 |
Steve Axelbaum, Rosalie Barrett, Brian Bucher, Astoria Gardens & Rehab Center L.L.C., The Investment Group, Astoria Gardens L.L.C. |
August 06, 2012 | Order Of Prohibition | 1100445 |
Hlm Securities, Inc |
August 08, 2012 | Consent Order Of Dismissal | 1200084 |
Rudolf L. Molnar | August 08, 2012 | Consent Order Of Withdrawal | 1200133 |
Peter Richard Bukowski | August 10, 2012 | Order Of Dismissal | 1200200 |
Charles Stephen Williams | August 13, 2012 | Order Of Dismissal | 1200216 |
Jose M. Lopez, Silvano C. Ramirez, Milagros D.S.J.B. L.L.C. |
August 14, 2012 | Temporary Order Of Prohibition | 1000465 |
Michael R. Roeser & Associates, D/B/A Bedford Financial Group Inc. |
August 14, 2012 | Notice Of Hearing | 1200236 |
Monica Hernandez | August 14, 2012 | Temporary Order Of Prohibition | 1200221 |
Birkelbach Investment Securities Inc, |
August 16, 2012 | Order Of Cancellation | 1200237 |
U.S.A. Tax & Insurance, D/B/A American Investment Services |
August 20, 2012 | Notice Of Hearing | 1200247 |
James Michael Mirenda | August 22, 2012 | Notice Of Hearing | 1200280 |
Ryan Seth Shaw | August 22, 2012 | Notice Of Hearing | 1200281 |
Andrey V. Tkatchenko | August 24, 2012 | Notice Of Hearing | 1200285 |
Kevin Charles Mcgirr, Mcgirr Financial Services |
August 27, 2012 | Consent Order | 1000052 |
Stifel Nicolaus & Company Inc. | August 29, 2012 | Consent Order | 0900025 |
Stifel Nicolaus & Company Inc. | August 29, 2012 | Notice Of Hearing | 0900025 |
Michael G. Murray | August 30, 2012 | Order Of Dismissal | 1200196 |
Daniel J. Russell | August 31, 2012 | Notice Of Hearing | 1000448 |
Michael Dean Farnsworth | August 31, 2012 | Order Of Dismissal | 1200175 |
Stephen C. Browere, Stephens Capital Management Inc. |
August 31, 2012 | Notice Of Hearing | 1000024 |
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