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Name of Respondent(s) Date Type of Action File Number
Glenn C. Mueller,
Northridge Holdings Ltd.,
Southridge Holdings Ltd.,
Brookstone Investment Group Ltd.,
Unity Investment Group 1 Ltd.,
Guardian Investment Group Ltd.,
Eastridge Holdings Ltd.,
Amberwood Holdings Limited Partnership
November 10, 2020 Notice Of Hearing 1900018
Spencer & Associates,
Spencer Enterprises Inc.,
Ray T. Spencer,
Michael L. Kalaskie
November 12, 2020 1St Amended Notice Of Hearing 1800354
Blackbay Capital Advisors L.L.C. And Todd W. Butterfield November 16, 2020 Consent Order 1800508
Keith Giles,
Jerry Karlik,
Kargil Development Partners L.L.C.,
Kargil Blue Island L.L.C.,
15Th Street Blue Island L.L.C.
November 30, 2020 Order Of Dismissal 1400409

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