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Name of Respondent(s) Date Type of Action File Number
Larry Bates,
First American Monetary Consultants Inc.
August 01, 2013 Order Of Prohibition 1300235
Anthony Mediate I I I August 05, 2013 Notice Of Hearing 1300322
Paul A. Guerrero,
Lucero Guerrero,
P.A.G. Services Inc.
August 05, 2013 Order Of Prohibition 1300148
M. Ramsey King Securities Inc. August 06, 2013 Notice Of Hearing 1300126
Jesus Fernandez,
Julio Garcia,
S.F.C. Investors Inc.
August 07, 2013 Order Of Prohibition 0900359
Ralph W. Russell,
R.W.R. Capital Partners L.L.C.,
R.W.R. Capital Management L.L.C.
August 07, 2013 Order Of Prohibition 0700041
Michael Joseph Mahoney August 12, 2013 Order Of Dismissal 1200475
Tracy Chen August 14, 2013 Second Amended Notice Of Hearing 1300216
Timothy Duma August 21, 2013 Order Of Prohibition 1200316
Elizabeth Lyn Viau August 23, 2013 Order Of Dismissal 1200503
Westor Capital Group Inc. August 28, 2013 Order Of Revocation 1300178
William J. Murphy August 28, 2013 Consent Order Of Revocation 1100460
Matthew Reavill,
Reavillmed L.L.C.,
Reavillmed Incorporated
August 29, 2013 Order To Vacate 1200035
Todd C. Smith,
Retirement Planning Services
August 29, 2013 Consent Order Of Prohibition 1000302
Matthew Sapaula,
Matthew Sapaula Inc.
August 30, 2013 Consent Order 0900415

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