Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Guy Williams, Williams Realty And Investments, Grow Wealth Enterprises |
January 02, 2008 | Consent Order To Cease And Desist | 0600545 |
| Ronald T. Weathers, X52 Distributing Inc. |
January 02, 2008 | Order Of Prohibition | 0600442 |
| William J. Murphy | January 02, 2008 | Consent Order | 0600604 |
| Brian E. Mclain | January 03, 2008 | Consent Order Of Revocation | 0700396 |
| A.G. Edwards & Sons Inc., Suzanne Michelle Wiegand, Wachovia Securities L.L.C. |
January 04, 2008 | Second Amended Notice Of Hearing | 0600669 |
| Christopher Turner, Monument Peak Investments L.L.C. |
January 04, 2008 | Order Of Prohibition | 0700205 |
| Earl D. Glick | January 07, 2008 | Consent Order Of Revocation | 0700447 |
| Raymond James Financial Services, J. Stephen Putnam |
January 07, 2008 | Notice Of Hearing | 0500010 |
| Dennis R. Weddle I I | January 08, 2008 | Consent Order Of Withdrawal | 0600625 |
| Bank Watch, Brian Jines, Frank Panice |
January 09, 2008 | Order Of Prohibition | 0700082 |
| Charles L. Doraine | January 11, 2008 | Consent Order Of Dismissal | 0700258 |
| Kirk S. Wright | January 11, 2008 | Order Of Revocation | 0600323 |
| Michael J. Resciniti | January 11, 2008 | Order Of Revocation | 0700262 |
| Richard M. La Croix, R.L. Richards & Co. L.L.C. |
January 15, 2008 | Temporary Order Of Prohibition | 0500028 |
| Mid-America Energy Inc., Gary Milby |
January 16, 2008 | Order Of Prohibition | 0700007 |
| Eric Robert Rydlewski, A/K/A Arkadiusz Rydlewski, D/B/A Merit Inter-Group Ltd. |
January 18, 2008 | Amended Notice Of Hearing | 0700406 |
| Robert Dal Santo, Samuel Dal Santo, David Dal Santo, Dal Santo Capital Management L.L.C. |
January 18, 2008 | Temporary Order Of Prohibition | 0700029 |
| Daniel C. Lacey | January 23, 2008 | Consent Order Of Withdrawal | 0600494 |
| Leslie T. Adams, Global Transitional Services |
January 24, 2008 | Order Of Prohibition | 0600430 |
| Michael Robert Vilim | January 24, 2008 | Order Of Prohibition | 0600098 |
| Ameriprise Financial Services Inc. | January 25, 2008 | Notice Of Hearing | 0700247 |
| Ameriprise Financial Services Inc. | January 25, 2008 | Consent Order | 0700247 |
| Adley Husni Abdulwahab, A & O Life Fund L.L.C., A & O Bonded Life Settlements L.L.C., A & O Life Fund Management L.L.C., A & O Bonded Life Assets |
January 25, 2008 | Notice Of Hearing | 0700042 |
| Automated Internet Group | January 25, 2008 | Order To Cease And Desist | 0700469 |
| Robert Joseph White | January 25, 2008 | Temporary Order Of Prohibition | 0600471 |
| Ameriprise Financial Services Inc. | January 25, 2008 | Order Of Dismissal | 0700247 |
| Insider Real Estate, Scanlan Realty & Investments Ltd., Christopher Scanlan |
January 28, 2008 | Amended Notice Of Hearing | 0700520 |
| Patrick T. Mcguire Jr. | January 28, 2008 | Temporary Order Of Prohibition | 0700580 |
| Rose Realty Advisors Inc. | January 29, 2008 | Order Of Prohibition | 0700011 |
| Global Touch Systems Inc., John J. Kauffman |
January 30, 2008 | Notice Of Hearing | 0800045 |
| Louis E. Stough | January 30, 2008 | Consent Order Of Dismissal | 0700448 |
| Olsen Acquisitions | January 30, 2008 | Order Of Prohibition | 0700552 |
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