Administrative Actions Search
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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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