Administrative Actions Search
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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Charles Foster | March 02, 2016 | Notice Of Hearing | 1600067 |
Charles Hurley | March 02, 2016 | Notice Of Hearing | 1600031 |
Lakshmi Wealth Management L.L.C., Himanshu Patel |
March 02, 2016 | Notice Of Hearing | 1400579 |
Namsuk Kim | March 02, 2016 | Notice Of Hearing | 1600049 |
Ketter Private Wealth L.L.C. | March 15, 2016 | Notice Of Hearing | 1600209 |
Thomas Raymond Bieneman | March 15, 2016 | Notice Of Hearing | 1600204 |
Pia Platinum Investment Advisors L.L.C. | March 15, 2016 | Notice Of Hearing | 1600211 |
Steve Tracy | March 16, 2016 | Order Of Prohibition | 1200148 |
Universal Capital Solutions, Master Captial Solutions, Fernali Ferrice |
March 16, 2016 | Notice Of Hearing | 1400188 |
Judith Rimkus | March 21, 2016 | Notice Of Hearing | 1600021 |
Marc Hubbard, Sports Dimensions Inc. |
March 21, 2016 | Notice Of Hearing | 1300134 |
Armando Pena, Avir4 Trading Group L.L.C. |
March 23, 2016 | Notice Of Hearing | 1200423 |
Robert James Batchen | March 23, 2016 | Order Of Revocation | 1300130 |
Timothy James Fergus | March 25, 2016 | Amended Notice Of Hearing | 1500256 |
Timothy James Fergus | March 25, 2016 | Consent Order | 1500256 |
Judith Rimkus | March 28, 2016 | Consent Order | 1600021 |
Richard F. Reynolds | March 30, 2016 | Summary Order Of Denial | 1600100 |
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