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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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