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SECURITIES


Administrative Actions

2012

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

Joseph P. Rivera
February 28, 2012

Gustavo A. Ruiz
February 23, 2012

Hubert Stalling
February 23, 2012

Consolidated Wealth Holdings, Inc
Consolidated Wealth Management, LLC
John Spalding
Laura Spalding

February 21, 2012

Lawrence Y. Lee
February 15, 2012

Edward Louis Schainker
February 10, 2012

Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 10, 2012

Christopher Varlesi
d/b/a Gold Coast Futures and Forex

February 8, 2012

Christopher Varlesi
d/b/a Gold Coast Futures and Forex

February 8, 2012

Exceptional Investment, Inc.
Peter Guzman
Jimmy Rivera

February 7, 2012

Jeffrey A. Mullins
February 7, 2012

Philip W. Elizondo
Denise M. Elizondo
Lincoln Square Group, LLC

February 6, 2012

Howard M. Ramsamugh
February 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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