Administrative Actions Search


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Name of Respondent(s) Date Type of Action File Number
Lawrence T. Smith March 05, 2008 Consent Order Of Withdrawal Of Application 0700463
Terrence T. Alexander,
Alexander Holdings L.L.C.
March 06, 2008 Temporary Order Of Prohibition & Suspension 0700229
U.S.A. Card Services March 10, 2008 Summary Order To Cease And Desist 0800036
Hopkins Financial Services Inc. March 10, 2008 Order Of Dismissal 0700529
Richard M. La Croix,
R.L. Richards & Co. L.L.C.
March 12, 2008 Order Of Prohibition 0500028
U.S.A. Properties Of Illinois Inc.,
Zia Ahmed
March 12, 2008 Order Of Prohibition 0400773
Phillip M. Graff March 14, 2008 Consent Order Of Suspension 0700561
David G. Rincon March 19, 2008 Notice Of Hearing 0700431
C.M.C. Institutional Trading L.L.C. March 20, 2008 Order Of Cancellation 0700568
Robert L. Giardina March 26, 2008 Notice Of Hearing 0800023
Albert Jack Lukasik March 28, 2008 Consent Order 0600196

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