Administrative Actions Search
Results
Search Criteria
| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Gail Denise Dugas | December 01, 2011 | Order Of Dismissal | 1100423 |
| Robert Iver Kelley Jr | December 01, 2011 | Order Of Dismissal | 1100380 |
| William Frederick Baumann | December 01, 2011 | Order Of Dismissal | 1100429 |
| Elie Mellul, A/K/A Eli Mellul, Traders Capital L.L.C. |
December 06, 2011 | Temporary Order Of Prohibition | 1100008 |
| William J. Murphy | December 08, 2011 | Notice Of Hearing | 1100460 |
| Lawrence Y. Lee, L.Y.L. Investment Corporation |
December 09, 2011 | Amended Notice Of Hearing | 1000145 |
| Lawrence Y. Lee | December 09, 2011 | Notice Of Hearing | 1100484 |
| Mark Wallace Johnson | December 09, 2011 | Order Of Dismissal | 1100403 |
| Michael Joseph Stahl Jr. | December 09, 2011 | Order Of Dismissal | 1100424 |
| Peter V. Eliades | December 09, 2011 | Consent Order Of Dismissal | 1100262 |
| Richard Kelsey, Ispottedyou.Com Inc. |
December 09, 2011 | Notice Of Hearing | 1100433 |
| Jordan M Jacobs | December 09, 2011 | Order Of Dismissal | 1100374 |
| Darcey L. Folkerts, Robert Mcavoy, Full Circle Strategies Ltd. |
December 12, 2011 | Notice Of Hearing | 1000038 |
| Dustin P. Shafer | December 13, 2011 | Order Of Dismissal | 1100370 |
| Michael Harbert | December 13, 2011 | Amended Notice Of Hearing | 1100310 |
| Salvador Almonte | December 14, 2011 | Consent Order Of Withdrawal Of Application | 1100270 |
| Associated Financial Services Inc. | December 15, 2011 | Order Of Cancellation | 1100488 |
| Chadwick Creech, Yuwen Creech, Streamones F.S. L.L.C., Streamone L.L.C. |
December 16, 2011 | Notice Of Hearing | 1100294 |
| Dealer Auction Access Inc. | December 16, 2011 | Corrected Notice Of Hearing | 1000407 |
| Dennis P Karau | December 16, 2011 | Order Of Dismissal | 1100385 |
| Douglas Wayne Jenkins | December 16, 2011 | Order Of Dismissal | 1100366 |
| Jerome Patrick Sweeney I I | December 16, 2011 | Order Of Dismissal | 1100372 |
| Keith Terrell Johnson | December 16, 2011 | Order Of Dismissal | 1100408 |
| Ray Pacific Global Assets L.P., Ray Pacific Asset Management L.L.C., Ray Krittibas |
December 16, 2011 | Order Of Prohibition | 1100241 |
| Peter Alan Maren | December 19, 2011 | Order Of Dismissal | 1100430 |
| Carl G. Moose, Infinity Wind Teclinology N.A. L.L.C., Infinity Wind Technology L.L.C. |
December 20, 2011 | Temporary Order Of Prohibition | 1100288 |
| Eric Anthony Foster | December 21, 2011 | Consent Order Of Censure | 0800557 |
| Fran Span Global L.L.C., The Healthy Life Style Place Of Oak Park L.L.C., Physicians Wellcare Centers Of America |
December 21, 2011 | Consent Order Of Prohibition | 1100208 |
| John Sikaras | December 21, 2011 | Order Of Dismissal | 1100381 |
| Peter Anthony Mazzara, Omni Group Partners, Alpha Life Holdings Ltd. |
December 21, 2011 | Temporary Order Of Prohibition | 1100435 |
| Heritage Inc., D/B/A Heritage Deposit Brokers |
December 27, 2011 | Temporary Order Of Prohibition | 1100254 |
| John C. Nori | December 27, 2011 | Consent Order Of Denial | 1100277 |
| Jonathan Michael Riogoni | December 28, 2011 | Order Of Dismissal | 1100365 |
| Upper Quadrants Capital Management L.L.C., James H. Stanley Jr. |
December 28, 2011 | Notice Of Hearing | 1000187 |
| Bradley P. Schieber | December 29, 2011 | Order Of Prohibition | 1100021 |
| Corneal Science Corporation, Dr. Allan Touch |
December 29, 2011 | Final Order | 0800210 |
| Dragon Fire Solutions, Andrew V. Dungey |
December 29, 2011 | Notice Of Hearing | 0800566 |
| Lawrence A. Kreindel | December 29, 2011 | Order Of Dismissal | 1100384 |
| Steven W. Salutric | December 30, 2011 | Temporary Order Of Prohibition | 0900541 |
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.