Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Kareem Abdul-Jabbar, T.E.N. Enterprises |
February 03, 2010 | Notice Of Hearing | 0600591 |
| A.I.R. Inc., Michael W. Smith |
February 04, 2010 | Consent Order | 0900155 |
| Martin P. Travis, The Scarlet Group Inc. |
February 04, 2010 | Temporary Order Of Prohibition | 0800139 |
| Kelvin Miles Sr. | February 08, 2010 | Notice Of Hearing | 0600641 |
| Amvest Securities Inc. | February 09, 2010 | Consent Order Of Fine | 0900296 |
| Christine Fenn | February 11, 2010 | Consent Order | 0700319 |
| Emerson Equity Group | February 17, 2010 | Order Of Prohibition | 0900520 |
| Gary L. Lange | February 17, 2010 | Order Of Prohibition | 0900181 |
| Capital Planning Alliance Inc., Mathew G. Fowler |
February 19, 2010 | Consent Order | 0100319 |
| Michael Hendrix | February 19, 2010 | Order Of Prohibition | 0800568 |
| Dean Robert Bordeaux | February 23, 2010 | Consent Order Of Suspension | 0800229 |
| Group 369 Corp., David Alan Kastner, Donald James |
February 23, 2010 | Temporary Order Of Prohibition | 0900370 |
| Lambert Clark Group L.L.C, L.C.G. Global Assets Limited, Kevin James Reed |
February 23, 2010 | Temporary Order Of Prohibition | 0900460 |
| Leroy J. Wright, Wright Capital Partners L.L.C. |
February 23, 2010 | Temporary Order Of Prohibition | 0800485 |
| Fabio B. Herrara | February 24, 2010 | Notice Of Hearing | 0700210 |
| John L. Ong | February 25, 2010 | Corrected Notice Of Hearing | 0900527 |
| Allodial Investments Inc., Art A. Segura I I |
February 26, 2010 | Temporary Order Of Prohibition | 0900519 |
| Theodore "Ted" J. Hogan, A/K/A Ted Kills In The Fog, Theodore J. Hogan & Associates L.L.C. |
February 26, 2010 | Temporary Order Of Prohibition | 0900280 |
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