Administrative Actions Search


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Name of Respondent(s) Date Type of Action File Number
Global Wealth Partners L.L.C. September 03, 2020 Order Of Dismissal 1800091
Khorram Chaudhry September 08, 2020 Order To Modify Prohibition Order 1800195
Solium Financial Services L.L.C. September 08, 2020 Notice Of Hearing 2000821
William Anthony Thompson September 11, 2020 Notice Of Hearing 1800279
Mark Butzler,
Carol Lucas,
The Butzler Family Foundation L.L.C.
September 14, 2020 Notice Of Hearing 1800355
Wayne M. Dennis,
Ironhorse Capital L.L.C.
September 28, 2020 Consent Order Of Prohibition 1600247
Solium Financial Services L.L.C. September 30, 2020 Consent Order 2000821

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