Administrative Actions Search


Search Criteria

Name of Respondent(s) Date Type of Action File Number
Sarvajnya G. Mada,
Smita M. Seetaram,
Pocketinns Inc.
December 05, 2018 Consent Order 1800076
William J. Milles,
Donald J. Lutzko,
Capital Energy Group L.L.C.
December 06, 2018 Temporary Order Of Prohibition 1600748
Lpl Financial L.L.C. December 06, 2018 Consent Order 1800307
Lpl Financial L.L.C. December 06, 2018 Notice Of Hearing 1800307

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.