Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Jeffrey A. Mullins | May 01, 2012 | Order Of Dismissal | 1200025 |
| Katryn Ann Winter | May 01, 2012 | Amended Notice Of Hearing | 1200103 |
| Nicolas Hindman, Mel Krumdick, Todd A. Dyer, Tracy Lynn Bolton, U.S. Growers Liquidity Fund Inc., Farmland Marketing & Management Group Inc., Midwest Farmland Limited Partnership, Midwest Farmland Management Corporation, American Farmland Partners Corporation |
May 01, 2012 | Amended Notice Of Hearing | 1000325 |
| Roy D. Kessel, The Omicron Group L.L.C., Capital Law Group P.C. |
May 02, 2012 | Order Of Prohibition | 1000395 |
| Stephen H. Mansker Jr., Mansker Holding Associates Company Inc. |
May 02, 2012 | Order Of Prohibition | 1100279 |
| Douglas F. Kaiser | May 03, 2012 | Order Of Dismissal | 1200121 |
| Ryan C. Gold | May 03, 2012 | Corrected Consent Order Of Dismissal | 1200040 |
| Southwest Securities Inc. | May 07, 2012 | Notice Of Hearing | 1200157 |
| Legend Merchant Group Inc. | May 08, 2012 | Summary Order Of Prohibition | 1200118 |
| Christopher F. Cerecedes | May 09, 2012 | Temporary Order Of Prohibition | 1000468 |
| Pulse Trading Inc. | May 09, 2012 | Order Of Dismissal | 1200082 |
| Kathryn Ann Winter | May 10, 2012 | Consent Order Of Dismissal | 1200103 |
| A.T.G. Securities L.L.C. | May 13, 2012 | Notice Of Hearing | 1200090 |
| Ventoux Securities L.L.C. | May 13, 2012 | Order Of Cancellation | 1200088 |
| Peter Anthony Mazzara, Omni Group Partners, Alpha Life Holdings Ltd. |
May 14, 2012 | Amended Notice Of Hearing | 1100435 |
| Angelo Wiley | May 15, 2012 | Notice Of Hearing | 1000194 |
| Robert T. Ciaccio Jr. | May 15, 2012 | Consent Order Of Dismissal | 1200070 |
| First Calvary Financial Inc., Richard Chaunqi Wang |
May 16, 2012 | Notice Of Hearing | 1100212 |
| M.S.F. Securities Inc. | May 16, 2012 | Order Of Cancellation | 1200083 |
| Rudolf L. Molnar | May 17, 2012 | Notice Of Hearing | 1200133 |
| Mark David Hurwitz, Lynda M. Hurwitz. |
May 18, 2012 | Temporary Order Of Prohibition & Suspension | 1200057 |
| Angelo Wiley | May 25, 2012 | Consent Order | 1000194 |
| Virginia Commercial Capital Corporation, Scott Mattingley |
May 25, 2012 | Consent Order | 1100342 |
| Helmuth Investment Inc. | May 30, 2012 | Corrected Order Of Cancellation | 1200100 |
| M.S.F. Securities Inc. | May 30, 2012 | Order To Vacate | 1200083 |
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