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Name of Respondent(s) Date Type of Action File Number
Gpb Capital Holdings L.L.C.,
Ascendant Alternative Strategies,
Ascendant Capital L.L.C.,
David Gentile,
Jeffry Schneider,
Jeffrey Lash
February 04, 2021 Notice Of Hearing 2000838
South Suburban Investment Group L.L.C.,
Richrd Carlino
February 05, 2021 Temporary Order Of Prohibition 2000327
Glenn C. Mueller February 17, 2021 Consent Order Of Prohibition 1900018
Northridge Holdings Ltd.,
Southridge Holdings Ltd.,
Brookstone Investment Group Ltd.,
Unity Investment Group 1 Ltd.,
Guardian Investment Group Ltd.,
Eastridge Holdings Ltd.,
Amberwood Holdings Limited Partnership
February 18, 2021 Consent Order Of Prohibition 1900018

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