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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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