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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