Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Sergio M. Rovner | October 02, 2006 | Consent Order Of Withdrawal | 0600030 |
| Advantage Financial Partners L.L.C. | October 06, 2006 | Notice Of Hearing | 0500594 |
| Michael J. Crook, Z Touch Systems Inc. |
October 12, 2006 | Order Of Prohibition | 0500002 |
| Michael J. Crook, Z Touch Systems Inc. |
October 12, 2006 | Order Of Prohibition | 0600051 |
| Larry M. Phillips | October 13, 2006 | Consent Order Of Dismissal | 0500301 |
| Thomas Weisel Partners L.L.C. | October 13, 2006 | Consent Order | 0500588 |
| Thomas Weisel Partners L.L.C. | October 13, 2006 | Notice Of Hearing | 0500588 |
| Thomas Weisel Partners L.L.C. | October 13, 2006 | Order Of Dismissal | 0500588 |
| Fidelity Assurance Associates L.L.C. | October 16, 2006 | Consent Order | 0400451 |
| The Money Doctor System, Carl Shelton |
October 16, 2006 | Summary Order To Cease And Desist | 0600555 |
| Pebble Beach Investments L.L.C., Barrv Chessick, Vienna Trust Capital Ltd. |
October 17, 2006 | Notice Of Hearing | 0500332 |
| Leslie Schaller | October 18, 2006 | Final Order | 0500083 |
| Roderick James Rieman, Innovative Financial Services Inc. |
October 18, 2006 | Consent Order | 0500002 |
| Roderick James Rieman, Innovative Financial Services Inc. |
October 18, 2006 | Consent Order | 0600051 |
| Cynthia M. Couyoumjian | October 19, 2006 | Summary Order Of Denial | 0600473 |
| Firstline Financing | October 19, 2006 | Order Of Prohibition | 0600342 |
| J P Finance | October 19, 2006 | Order Of Prohibition | 0600437 |
| Unlimited Cash Inc., Douglas Network Enterprises |
October 23, 2006 | Notice Of Hearing | 0300797 |
| A.E.I. Environmental Inc., D/B/A Livestock Direct Inc. |
October 24, 2006 | Notice Of Hearing | 0400605 |
| T.A. Financial | October 24, 2006 | Order Of Prohibition | 0600325 |
| Chapin Davis | October 25, 2006 | Consent Order Of Fine | 0600239 |
| Flatlander Industries Inc., D/B/A Business Builders, 3R Products Inc., Richard L. Eikenberg, Trent M Rousey |
October 26, 2006 | Notice Of Hearing | 0500573 |
| Lawrence M. Labine | October 26, 2006 | Notice Of Hearing | 0500674 |
| Thomas C. Hock | October 26, 2006 | Summary Order Of Denial | 0600542 |
| Timothy R. Touloukian | October 31, 2006 | Corrected Notice Of Hearing | 0600467 |
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