Administrative Actions Search


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Name of Respondent(s) Date Type of Action File Number
Richard F. Beston,
John W. Branch,
Ten X Holdings L.L.C.,
Rainmaker Securities L.L.C.
October 05, 2016 Consent Order 1300406
Coby Young October 12, 2016 Temporary Order Of Prohibition 1600229
Khorram Chaudhry October 12, 2016 Temporary Order Of Prohibition 1600359
Advanced Option Capital Ltd.,
D/B/A Optionking.Com
October 13, 2016 Final Order Of Prohibition 1600283
Todd Jones,
First Class Investments L.L.C.
October 14, 2016 Order Of Prohibition 1600238
Lakshmi Wealth Management L.L.C.,
Himanshu Patel
October 17, 2016 Consent Order 1400579
Armando Pena,
Avir4 Trading Group L.L.C.
October 24, 2016 Amended Notice Of Hearing 1200423
Roux Holdings L.L.C.,
Donald Heidrich
October 27, 2016 Notice Of Hearing 1400187
Universal Capital Solutions,
Master Capital Solutions,
Fernali Ferrice
October 28, 2016 Amended Notice Of Hearing 1400188
Randall J. Sevcik,
Elite Group Financial L.L.C.
October 31, 2016 Consent Order 1400460

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