Administrative Actions Search
|Name of Respondent(s)||Date||Type of Action||File Number|
|Philip W. Elizondo,
Denise M. Elizondo,
Lincoln Square Group L.L.C.
|February 06, 2012||Consent Order||1000453|
|Exceptional Investment Inc.,
|February 07, 2012||Order Of Prohibition||0500621|
|Jeffrey A. Mullins||February 07, 2012||Notice Of Hearing||1200025|
D/B/A Gold Coast Futures And Forex
|February 08, 2012||Consent Order Of Prohibition||1100358|
D/B/A Gold Coast Futures And Forex.
|February 08, 2012||Notice Of Hearing||1100358|
|Edward Louis Schainker||February 10, 2012||Consent Order||0900049|
|Merrill Lynch Pierce Fenner & Smith Incorporated||February 10, 2012||Consent Order||0900049|
|Lawrence Y. Lee||February 15, 2012||Order Of Revocation||1100484|
|Consolidated Wealth Holdings Inc.,
Consolidated Wealth Management L.L.C.,
|February 21, 2012||Notice Of Hearing||0800509|
|Gustavo A Ruiz||February 23, 2012||Order Of Dismissal||1100378|
|Hubert Stalling||February 23, 2012||Order Of Dismissal||1100367|
|Joseph P. Rivera||February 28, 2012||Consent Order Of Withdrawal||1100495|
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