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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Blair Capital Management Corp. | January 05, 2012 | Notice Of Hearing | 1100498 |
Christopher Varlesi, D/B/A Gold Coast Futures And Forex |
January 05, 2012 | Temporary Order Of Prohibition | 1100358 |
Dealer Auction Access Inc. | January 05, 2012 | Amended Notice Of Hearing | 1000407 |
Blair Capital Management Corp. | January 09, 2012 | Order Of Dismissal | 1100498 |
Royal Alliance Associates Inc., Marcus M. Carbajal, Dirk C. Salberg |
January 09, 2012 | Consent Order Of Censure | 0800047 |
Banc Of America Securities L.L.C., Banc Of America Investment Services Inc. |
January 10, 2012 | Consent Order | 0800204 |
Banc Of America Securities L.L.C., Banc Of America Investment Services Inc. |
January 10, 2012 | Notice Of Hearing | 0800204 |
Insider Real Estate Inc., Scanlan Realty & Investments Ltd., Christopher Scanlan, Rosalee Mueller |
January 11, 2012 | Order Of Prohibition And Fine | 0700061 |
Peter M. Peterson | January 11, 2012 | Notice Of Hearing | 1100492 |
Insider Real Estate Inc., Scanlan Realty & Investments Ltd., Christopher Scanlan, Rosalee Mueller |
January 11, 2012 | Order Of Prohibition And Fine | 0700520 |
Big K Energy Corporation, Big K Energy Partners One Ltd., Kenneth M. Kleinke |
January 13, 2012 | Temporary Order Of Prohibition | 1100476 |
Cor Development Group Inc., Alberto B. Colon, Artemio Rivera |
January 13, 2012 | Amended Notice Of Hearing | 0900382 |
Kenneth O'Neal Griffin | January 13, 2012 | Notice Of Hearing | 0900502 |
Joseph P. Rivera | January 18, 2012 | Notice Of Hearing | 1100495 |
Mark Barati | January 18, 2012 | Final Order | 0800047 |
Carl Moose, Infinity Wind Technoloev N.A. L.L.C., Infinity Wind Technology L.L.C. |
January 19, 2012 | Notice Of Hearing | 1100288 |
Elie Mellul, A/K/A Eli Mellul, Traders Capital. L.L.C. |
January 19, 2012 | Order Of Prohibition | 1100008 |
Farmaraz "Mario" Azodinia, Eugene C. Beyer, Pinnacle Investment Group L.L.C. |
January 19, 2012 | Notice Of Hearing | 1000215 |
Lucher Holloway, It'S Clean U.S.A. L.L.C., It'S Clean U.S.A. Limited |
January 20, 2012 | Order Of Prohibition | 0800575 |
Deborah Ann Wilson | January 23, 2012 | Order Of Dismissal | 1100392 |
George Algirdas Kuzmickas | January 23, 2012 | Order Of Dismissal | 1100399 |
Peter Anthony Mazzara, Omni Group Partners Ltd., Alpha Life Holdings Ltd. |
January 23, 2012 | Notice Of Hearing | 1100435 |
Reginald Loniax | January 23, 2012 | Order Of Dismissal | 1100389 |
Arthur Lin | January 24, 2012 | Consent Order Of Prohibition And Revocation | 1000096 |
Gloria Lin | January 24, 2012 | Consent Order Of Prohibition | 1000096 |
Jerry Miller | January 24, 2012 | Order Of Prohibition | 0800388 |
Raymond T. Blunk | January 24, 2012 | Notice Of Hearing | 1100493 |
Richard Kelsey, Ispottedyou.Com Inc. |
January 26, 2012 | Consent Order Of Prohibition | 1100433 |
Paul Miller, 7 West Partners L.L.C., Southern Media L.L.C. |
January 26, 2012 | Consent Order Of Prohibition | 1000291 |
Daniel Edward Sigman | January 30, 2012 | Order Of Dismissal | 1100401 |
Eric Dale Grant | January 30, 2012 | Order Of Dismissal | 1100407 |
Heritage Inc., D/B/A Heritage Deposit Brokers |
January 30, 2012 | Order Of Prohibition | 1100254 |
Merrill Lynch Pierce Fenner & Smith Incorporated | January 30, 2012 | Notice Of Hearing | 0900049 |
Mitchell Ray Davis | January 30, 2012 | Order Of Dismissal | 1100396 |
M.G. International Consultants L.L.C., Humberto Martinez |
January 31, 2012 | Temporary Order Of Prohibition | 1100489 |
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