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Name of Respondent(s) Date Type of Action File Number
Matthew Sapaula,
Matthew Sapaula Inc
September 01, 2011 Notice Of Hearing 0900415
Tamara R. Harrell,
Prescott Investments Inc.
September 07, 2011 Order Of Prohibition 0800092
Barry Patrick Mctiernan September 08, 2011 Order Of Dismissal 1100159
Berry Resources Inc.,
Ralph Berry
September 08, 2011 Order To Vacate 1000419
Doley Securities L.L.C. September 09, 2011 Notice Of Hearing 1100058
Lakeland Shores L L C,
Barry Chessick,
Anne Chessick,
Nancy J. Sertich Kennedy
September 09, 2011 Order Of Prohibition 0800567
Alfaro Oil & Gas L L C,
Brian Keith Alfaro,
Pinnacle Partners Financial Corporation
September 13, 2011 Temporary Order Of Prohibition 1100296
John C. Nori September 15, 2011 Notice Of Hearing 1100277
Ashton Garnett Securities L.L.C. September 16, 2011 Consent Order Of Fine 1100075
Jeremy Warren September 16, 2011 Order Of Dismissal 1100116
M.H. Investments L.L.C. September 16, 2011 Consent Order Of Withdrawal 1100042
Todd Alan Shanholtzer September 16, 2011 Notice Of Hearing 1100128
Tracey Renee Callaway September 16, 2011 Notice Of Hearing 1100154
Virginia Commercial Capital Corporation,
Scott Mattingley
September 20, 2011 Temporary Order Of Prohibition 1100342
Jerry Isaacson,
Barry Isaacson Freezer Products L.L.C.,
Target Foods L.L.C.
September 21, 2011 Consent Order 1000202
Money Matters For Women Of Color Inc,
Nevada Gold Exchange L.L.C,
Abu H. Ali,
A/K/A Abu H. Ali Ii,
Juanita Ali,
A/K/A N. Juanita Ali
September 22, 2011 Notice Of Hearing 0700207
Shawn D. Baldwin,
Capital Management Group Securities L L C,
Cmg Institutional Trading L L C
September 22, 2011 Amended Notice Of Hearing 0900290
Ephren Taylor,
City Capital Corporation,
A/K/A City Capital Corp,
Clean Sweep Holdings Group L.L.C.
September 27, 2011 Order Of Prohibition 1000196
Michael A. Calace,
A/K/A Michael Anthony,
D/B/A Silver Sword International
September 29, 2011 Order Of Prohibition And Fine 1000261
Signal Oil And Gas Company,
James E. Van Blaricum,
Steve Schoen,
D/B/A S.J.S Investments
September 29, 2011 Temporary Order Of Prohibition 1000013
Amston Capital L.L.C,
Stratcap L.L.C,
Christopher Green
September 30, 2011 Order Of Prohibition 1000191

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