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Name of Respondent(s) | Date | Type of Action | File Number |
---|---|---|---|
Wendy Meyers Simpson | November 01, 2011 | Order Of Dismissal | 1100410 |
Dealer Auction Access Inc. | November 02, 2011 | Summary Order To Cease And Desist | 1000407 |
Patrick T Dunaway | November 02, 2011 | Order Of Dismissal | 1100376 |
Ballentine Investments Inc., William Andrew Ballentine |
November 04, 2011 | Order Of Prohibition | 1100260 |
Christos Fotiadis | November 04, 2011 | Notice Of Hearing | 1000180 |
The Matomi Group L.L.C., Daniel Andonovski |
November 04, 2011 | Order Of Prohibition | 0800443 |
Virginia Commercial Capital Corporation, Scott Mattingley |
November 04, 2011 | Consent Order To Continue Temporary Order ' | 1100342 |
Virginia Commercial Capital Corporation, Scott Mattingley |
November 04, 2011 | Notice Of Hearing | 1100342 |
Arthur S. Miller | November 07, 2011 | Consent Order | 0700268 |
Muminah Abdul-Malik | November 07, 2011 | Order Of Dismissal | 1100377 |
Richard Neil Rosenberg | November 07, 2011 | Order Of Dismissal | 1100421 |
Jeffrey Sam Decant | November 08, 2011 | Order Of Dismissal | 1100387 |
Alfaro Oil & Gas L.L.C, Brian Keith Alfaro, Pinnacle Partners Financial Corporation |
November 09, 2011 | Consent Order Of Fine | 1100296 |
Brian Keith Richardson Sr. | November 09, 2011 | Order Of Dismissal | 1100382 |
Chadwick Creech, Yuwen Creech, Streamones F.S. L.L.C., Streamone L.L.C. |
November 10, 2011 | Temporary Order Of Prohibition | 1100294 |
Donald Lee Hooks Jr. | November 10, 2011 | Order Of Dismissal | 1100414 |
Kimberlv Sheri Smith | November 10, 2011 | Order Of Dismissal | 1100420 |
Shawn D. Baldwin, Capital Management Group Securities L.L.C, C.M.G Institutional Trading L.L.C |
November 10, 2011 | Second Amended Notice Of Hearing | 0900290 |
John L. Frazier, Tax Recovery Team |
November 14, 2011 | Consent Order Of Prohibition | 1000351 |
Kabarec Financial Advisors Ltd. | November 15, 2011 | Consent Order Of Fine | 1100287 |
Ray Pacific Global Assets Lp, Ray Pacific Asset Management L.L.C, Ray Krittibas |
November 15, 2011 | Temporary Order Of Prohibition | 1100241 |
Scott Mcginnis, Truearn.Com |
November 15, 2011 | Order Of Prohibition | 1000312 |
Charles Edward Bell | November 16, 2011 | Notice Of Hearing | 1100375 |
Deborah Ann Wilson | November 16, 2011 | Notice Of Hearing | 1100392 |
Eric J Neumann | November 16, 2011 | Notice Of Hearing | 1100373 |
Fredrick Donn Williamson | November 16, 2011 | Notice Of Hearing | 1100379 |
George Dragel | November 16, 2011 | Consent Order | 1100016 |
George Algirdas Kuzmickas | November 16, 2011 | Notice Of Hearing | 1100399 |
Gustavo A Ruiz | November 16, 2011 | Notice Of Hearing | 1100378 |
Jonathan Michael Riogoni | November 16, 2011 | Notice Of Hearing | 1100365 |
Lawrence A. Kreindel | November 16, 2011 | Notice Of Hearing | 1100384 |
Michael Craig Pattrick | November 16, 2011 | Notice Of Hearing | 1100371 |
Michael Joseph Stahl Jr. | November 16, 2011 | Notice Of Hearing | 1100424 |
Mitchell Ray Davis | November 16, 2011 | Notice Of Hearing | 1100396 |
Robert Iver Kelley Jr | November 16, 2011 | Notice Of Hearing | 1100380 |
Scott A. Kashian | November 16, 2011 | Notice Of Hearing | 1100397 |
Tracey Renee Callaway | November 16, 2011 | Order Of Dismissal | 1100154 |
Yitzhok Alexander Fox | November 16, 2011 | Notice Of Hearing | 1100406 |
Bradley P. Schieber | November 17, 2011 | Temporary Order Of Prohibition | 1100021 |
Matthew Sapaula, Matthew Sapaula Inc. |
November 17, 2011 | Order Of Prohibition | 0900415 |
Michael A. Macis | November 21, 2011 | Temporary Order Of Prohibition And Suspension | 1100449 |
Gerald Thomas Mccullough | November 23, 2011 | Order Of Dismissal | 1100388 |
M. F. Global Inc. | November 23, 2011 | Order Of Cancellation | 1100471 |
Scott A. Kashian | November 23, 2011 | Order Of Dismissal | 1100397 |
Dealer Auction Access Inc. | November 28, 2011 | Notice Of Hearing | 1000407 |
Jay Taparia | November 28, 2011 | Order Of Dismissal | 1100422 |
Mohammed I. Khan, Ink Global Consulting Inc., Ink Global L.L.C., Ink Global Capital L.L.C. |
November 28, 2011 | Consent Order To Continue Temporary | 1000399 |
Inaki Eguizabal | November 28, 2011 | Order Of Dismissal | 1100135 |
Real Estate On The Radio L.L.C, R.B. Consulting Inc., Ronald M. Vergara |
November 29, 2011 | Order Of Prohibition | 1100344 |
Donnie D. Eddy | November 30, 2011 | Order Of Dismissal | 1100404 |
Michael C. Marron | November 30, 2011 | Order Of Dismissal | 1100428 |
Leonard Edwin Belcher | November 30, 2011 | Order Of Dismissal | 1100368 |
Mark L. Borst, Nicholas Hindman, Mel Krumdick, Todd Dyer, Midwest Farmland Limited Partnership, Midwest Farmland Management Corporation, Midwest Farmland Acquisitions, American Farmland Partners Corporation, Agricultural Network Corporation |
November 30, 2011 | Consent Order To Continue Temporary | 1000325 |
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