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Name of Respondent(s) Date Type of Action File Number
Rhoads Lucca Capital Management January 03, 2013 Notice Of Hearing 1200151
Dwight Oliver Badger January 07, 2013 Corrected Notice Of Hearing 1200425
Nicolas Hindman,
Mel Krumdick,
Todd Dyer,
Tracy Lynn Bolton,
U.S. Growers Liquidity Fund Inc.,
Farmland Marketing & Management Group Inc.,
Midwest Farmland Limited Partnership,
Midwest Farmland Management Corporation,
American Farmland Partners Coporation
January 07, 2013 Consent Order 1000325
Hakim A. Donadelle January 08, 2013 Third Amended Notice Of Hearing 1200359
Keith Gregory Daubenspeck January 10, 2013 Amended Notice Of Hearing 1200545
Scott Jared Smith January 11, 2013 Order Of Dismissal 1200430
Advance Equities Inc. January 16, 2013 Order Of Cancellation 1300016
Brian M. Uselding January 16, 2013 Notice Of Hearing 1200445
Strategic Research Network Inc.,
Brian Marchant Calsyn
January 17, 2013 Order To Cease And Desist 1100226
Brian M. Uselding January 18, 2013 Consent Order 1200445
Enrique Guido Pflucker January 25, 2013 Consent Order Of Dismissal 1200340
Steven P. Jones,
John P. Acord,
Donald Drabik,
Intermodal Wealth Inc.,
Ecoenergy Group Inc.,
Intermodal Lease Inc.
January 28, 2013 Order Of Prohibition 1100304
Thomas Rudolph Fortino,
Alpha Wealth Group
January 29, 2013 Consent Order 1200278
Thomas Rudolph Fortino,
Alpha Wealth Group
January 29, 2013 Notice Of Hearing 1200278
Select Liberty Financial Group L.L.C.,
Tommie Bell
January 30, 2013 Temporary Order Of Prohibition 1200251

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