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SECURITIES


Administrative Actions

2012

January  |  February  |  March  |  April  |  May  |  June  |  July  |  August  |  September  |  October  |  November  |  December

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

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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.

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