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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Lawrence I. Goldstein | May 02, 2011 | Notice Of Hearing | 1100065 |
Jim Pantazelos, Destiny'S Partners Inc. |
May 03, 2011 | Order Of Prohibition | 0900497 |
Michael A. Calace, A/K/A Michael Anthony, D/B/A Silver Sword International |
May 03, 2011 | Notice Of Hearing | 1000261 |
Thomas William Rendl | May 03, 2011 | Notice Of Hearing | 1100173 |
Blake Anthony, Blake Anthony Inc., Solution Consulting Group Services Inc., Angela T. Freeman |
May 04, 2011 | Order To Terminate Order Of Prohibition | 0900113 |
Gary Carter Jr., Believer'S Two Inc., Cheetah Machines Inc., Gary Carter Sr. |
May 04, 2011 | Order Of Prohibition | 1100006 |
Michael H. Hess, Quantum Holdings L.L.C. |
May 04, 2011 | Corrected Notice Of Hearing | 1000403 |
Putnam Energy L.L.C. | May 04, 2011 | Notice Of Hearing | 1100199 |
Spencer Clarke L.L.C. | May 05, 2011 | Consent Order Of Fine | 1000223 |
Timothy John Roth, D/B/A Keyop Exercise Inc. |
May 05, 2011 | Order Of Prohibition | 1100183 |
Richard A. Cavileer | May 05, 2011 | Notice Of Hearing | 1100064 |
Blue Horizons Group L.L.C. | May 06, 2011 | Summary Order To Cease And Desist | 1100028 |
Lowell Terry Allen | May 06, 2011 | Order Of Dismissal | 1100095 |
Solid Ad Solutions L.L.C., Eweb Financial L.L.C. |
May 06, 2011 | Summary Order To Cease And Desist | 1000354 |
Norman Goldstein, G.E.I. Brokerage Inc. |
May 10, 2011 | Order Of Revocation | 1000279 |
Quad City Investment Adivors L.L.C. | May 10, 2011 | Notice Of Hearing | 1100214 |
Fran Span Global L.L.C., The Healthy Life Style Place Of Oak Park L.L.C., Physicians Wellcare Centers Of America |
May 11, 2011 | Temporary Order Of Prohibition | 1100208 |
Jay Michael Pollack | May 12, 2011 | Notice Of Hearing | 1100123 |
John Naurice Baker | May 12, 2011 | Notice Of Hearing | 1100117 |
Joseph Macaione | May 12, 2011 | Order Of Dismissal | 1100092 |
Joseph Richard Rauktys | May 12, 2011 | Order Of Dismissal | 1100106 |
Patrick Timothy Murphy | May 12, 2011 | Order Of Dismissal | 1100104 |
Alan Richard Lew | May 13, 2011 | Order Of Dismissal | 1100096 |
George Willis Scholz | May 16, 2011 | Order Of Dismissal | 1100109 |
Michael D. Hanke | May 16, 2011 | Consent Order Of Withdrawal | 1100002 |
Peter Whitfield | May 16, 2011 | Order Of Dismissal | 1100136 |
Jacqueline Kae Childress-Mitchell | May 17, 2011 | Order Of Dismissal | 1100110 |
Margaret Kopecki | May 17, 2011 | Order Of Dismissal | 1100153 |
Neal Alexander Ritter | May 17, 2011 | Order Of Dismissal | 1100163 |
William Anthony Gohs | May 17, 2011 | Order Of Dismissal | 1100143 |
Leonard Todd Johnson | May 18, 2011 | Order Of Dismissal | 1100165 |
Michael Joseph Farinella | May 18, 2011 | Order Of Dismissal | 1100086 |
Power Propery Investors, Power Property Management, Power Lending Corporation, Darren Heroldt |
May 18, 2011 | Order Of Prohibition | 0700394 |
Randall Scott &. Partners, James B. Clarke & Co. Ltd. |
May 18, 2011 | Order Of Prohibition | 1000188 |
Germaine Pang, Krupp D/B/A Germaine Pang |
May 19, 2011 | Order Of Prohibition | 0900468 |
Great Power Investments L.L.C., Walter G. Martinez |
May 19, 2011 | Order Of Prohibition | 0900352 |
Thomas F. Utley | May 19, 2011 | Notice Of Hearing | 0900461 |
David L. Hopkins | May 20, 2011 | Order Of Prohibition | 0800270 |
Sequoia Group Inc., Michael T. Kimmelman |
May 20, 2011 | Third Amended Notice Of Hearing | 1000376 |
Sequoia Group Inc., Michael T Kimmelman |
May 20, 2011 | Third Amended Notice Of Hearing | 1000404 |
Senior Financial Strategies Inc., D/B/A Pinnacle Investment Advisers, Thomas N. Cooper, Susan B. Cooper |
May 24, 2011 | Order | 0800064 |
Stifel Nicolaus & Company Incorporated | May 24, 2011 | Consent Order | 0700156 |
Stifel Nicolaus & Company Incorporated | May 24, 2011 | Notice Of Hearing | 0700156 |
Jay Michael Pollack | May 25, 2011 | Order Of Dismissal | 1100123 |
Andrew John Hall | May 26, 2011 | Order Of Dismissal | 1100114 |
Aaron Todd Fields | May 27, 2011 | Order Of Revocation | 1100156 |
Albert Dixon Bryant | May 27, 2011 | Order Of Revocation | 1100167 |
Daniel Nieves | May 27, 2011 | Order Of Revocation | 1100144 |
David Sargent, A/K/A Smooth D. Styles Jr., D/B/A The Elite Construction Group |
May 27, 2011 | Order Of Prohibition | 1000070 |
Dorsey Christian | May 27, 2011 | Order Of Revocation | 1100107 |
John Michael Bayer | May 27, 2011 | Order Of Revocation | 1100147 |
Michael Paul Curtis | May 27, 2011 | Order Of Revocation | 1100158 |
Jeffrey Terrence Graff | May 27, 2011 | Order Of Revocation | 1100155 |
Eugene Morrissette, G.M. Enterprises |
May 31, 2011 | Temporary Order Of Prohibition | 1000256 |
Ken A. Hugos | May 31, 2011 | Consent Order Of Withdrawal | 1000410 |
Lambert Clark Group L.L.C., Kevin James Reed |
May 31, 2011 | Amended Notice Of Hearing | 1000165 |
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