Administrative Actions Search
Results
Search Criteria
Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Thomas M. Rohrer | July 02, 2004 | Order Of Revocation | 0300834 |
Brian F. Gimelson | July 06, 2004 | Notice Of Hearing | 0400287 |
James E. Wheeler I I | July 06, 2004 | Order Of Revocation | 0300728 |
Thomas A. Smith | July 06, 2004 | Order Of Denial | 0400108 |
Cash Now Inc. | July 07, 2004 | Notice Of Hearing | 0100628 |
Don A. Morris | July 07, 2004 | Consent Order Of Withdrawal | 0400219 |
Richard P. Hveem | July 08, 2004 | Order Of Revocation | 0400091 |
Robert E. Schnelle | July 08, 2004 | Order Of Revocation | 0400271 |
Robert C. Tollefson | July 08, 2004 | Consent Order Of Censure | 0400174 |
Janas Associates, R. Carter Freeman |
July 12, 2004 | Notice Of Hearing | 0201002 |
Christopher J. Borgo | July 14, 2004 | Order Of Revocation | 0400094 |
Leslie I. Golembo | July 14, 2004 | Order Of Revocation | 0200614 |
Takaki Close And Associates Ltd. | July 14, 2004 | Consent Order Of Dismissal | 0400204 |
Theodore S. Alvia | July 14, 2004 | Order Of Revocation | 0300937 |
Robert E. Faulkner | July 15, 2004 | Notice Of Hearing | 0400086 |
James E. Upshaw Sr., Upshaw And Associates L.L.C. |
July 20, 2004 | Temporary Order Of Prohibition | 0400222 |
Hudson And Hudson | July 21, 2004 | Order Of Prohibition | 0400056 |
Billy Joe Johnson | July 26, 2004 | Consent Order Of Prohibition | 0400133 |
I.M.G. | July 28, 2004 | Order Of Prohibition | 0400101 |
Bruce Kevin Deakin | July 29, 2004 | Summary Order Of Denial | 0400209 |
D S Realty & Capital Markets Incorporated | July 29, 2004 | Summary Order Of Denial | 0400359 |
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.