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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 |
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