Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Greenwich Financial Inc. | June 02, 2009 | Order Of Prohibition | 0800563 |
| G.T.I. Life Inc. | June 02, 2009 | Notice Of Hearing | 0900057 |
| Petrotech Resources Corporation | June 02, 2009 | Consent Order | 0700587 |
| Sitka Pacific Capital Management L.L.C. | June 02, 2009 | Notice Of Hearing | 0900058 |
| Dianne M. Goedtel | June 03, 2009 | Notice Of Hearing | 0900084 |
| Neil Rolla Harrison | June 04, 2009 | Order Of Prohibition And Revocation | 0700156 |
| Riley K. Mchugh | June 04, 2009 | Consent Order | 0700358 |
| Dragolijub Giljen, A/K/A Daniel Giljen/Dan Giljen |
June 05, 2009 | Temporary Order Of Prohibition | 0900219 |
| S.D.M. Investments L.L.C. | June 08, 2009 | Notice Of Hearing | 0900063 |
| Steven R. Lewit | June 08, 2009 | Consent Order Of Dismissal | 0700555 |
| Jack D. Seibald | June 09, 2009 | Consent Order Of Dismissal | 0900012 |
| Michael S. Rosen | June 09, 2009 | Consent Order Of Dismissal | 0900013 |
| Associated Capital Advance L.L.C., Sandy Hoffman |
June 10, 2009 | Notice Of Hearing | 0900171 |
| Michael Hendrix | June 10, 2009 | Notice Of Hearing | 0800568 |
| L.G. Investment Advisors L.L.C. | June 12, 2009 | Notice Of Hearing | 0900067 |
| T.R. & B Corporation, Touch Of Soul L.L.C., Tommie E. Rodgers |
June 12, 2009 | Temporary Order Of Prohibition | 0900196 |
| J & W Financial Services Inc., J & W Construction Inc., Bear Cares Day Care Center, Derek J. Woods |
June 16, 2009 | Temporary Order Of Prohibition | 0800515 |
| A. G. Edwards & Sons Inc., Wachovia Securities L.L.C., Suzanne Michelle Wiegand |
June 18, 2009 | Order Of Dismissal | 0600669 |
| Midwest Quality Builders, Ambassador Realtors, Jimmy Lane |
June 24, 2009 | Consent Order Of Prohibition | 0500070 |
| Nexbank Securities Inc. | June 24, 2009 | Consent Order Of Fine | 0900114 |
| Steven Georgopoulos | June 26, 2009 | Consent Order Of Withdrawal | 0700381 |
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