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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