Administrative Actions Search
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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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