Administrative Actions Search


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Name of Respondent(s) Date Type of Action File Number
G.D. Castillo M.D. Ltd.,
Profit Sharing Plan
September 01, 2005 Consent Order 0400337
Stephen J. Greenberg September 01, 2005 Notice Of Hearing 0500277
Berwick Black Cattle Company,
Source Of Champions,
Mark Ray
September 02, 2005 Notice Of Hearing 0400772
Mary Catherine Fitzgerald September 02, 2005 Order Of Denial 0500256
R.J. Aubrey Investment Corp. September 02, 2005 Consent Order Of Fine 0500219
Christopher F. Veale September 07, 2005 Summary Order Of Denial 0500318
Georgios Manou September 07, 2005 Summary Order Of Denial 0500316
Shawn William Sorrells September 08, 2005 Notice Of Hearing 0500279
Manarin Securities Corporation September 09, 2005 Summary Order Of Denial 0500269
Anthony G. Peterson September 13, 2005 Notice Of Hearing 0400574
Vending Dreams,
Steven Mills,
Jim Ellis,
Major Itule,
Bob Dillion,
Susan Davis
September 14, 2005 Summary Order To Cease And Desist 0500065
I.S.P.E. 500,
Bill Murray
September 15, 2005 Temporary Order Of Prohibition 0500164
John H. Herzog September 19, 2005 Notice Of Hearing 0500348
Greg Epley September 20, 2005 Consent Order 0500181
Charles M. Shalmi September 23, 2005 Notice Of Hearing 0400646
Nicolas Arango September 23, 2005 Summary Order Of Denial 0200626
Victoria Bernal Ltd.,
Victoria Bernal,
Joseph Domino
September 23, 2005 Temporary Order Of Prohibition 0300002
Prime Securities Exchange Inc.,
Cary Edwin Grant
September 27, 2005 First Amended Notice Of Hearing 0200798

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