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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