SECURITIES
Administrative Actions
2012
Daniel J. Russell
August 31, 2012
Michael Dean Farnsworth
August 31, 2012
Stephen C. Browere
Stephens Capital Management, Inc.
August 31, 2012
Michael G. Murray
August 30, 2012
Stifel, Nicolaus & Company, Inc.
August 29, 2012
Stifel, Nicolaus & Company, Inc.
August 29, 2012
Kevin Charles McGirr
McGirr Financial Services
August 27, 2012
Andrey V. Tkatchenko
August 24, 2012
James Michael Mirenda
August 22, 2012
Ryan Seth Shaw
August 22, 2012
USA Tax & Insurance
d/b/a American Investment Services
August 20, 2012
Birkelbach Investment Securities, Inc.
August 16, 2012
Jose M. Lopez
Silvano C. Ramirez
Milagros D.S.J.B., LLC
August 14, 2012
Michael R. Roeser & Associates, Inc.
d/b/a Bedford Financial Group, Inc.
August 14, 2012
Monica Hernandez
August 14, 2012
Charles Stephen Williams
August 13, 2012
Peter Richard Bukowski
August 10, 2012
Rudolf L. Molnar
August 8, 2012
HLM Securities, Inc.
August 8, 2012
Steve Axelbaum
Rosalie Barrett
Brian Bucher
Astoria Gardens & Rehab Center LLC
Astoria Gardens LLC
The Investment Group
August 6, 2012
Cecil Allen Watkins
Housing Resources Center of Indiana, Inc.
August 1, 2012
Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader