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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