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SECURITIES


Administrative Actions

2012

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Brauvin Securities, Inc.
July 27, 2012

Robert Mather Harbour
July 27, 2012

Farmaraz “Mario” Azodinia
Pinnacle Investment Group, LLC

July 26, 2012

E*Trade Securities LLC
July 25, 2012

E*Trade Securities LLC
July 25, 2012

Mohammed I. Khan
Ink Global Consulting, Inc.
Ink Global, LLC
Ink Global Capital, LLC

July 25, 2012

Eugene C. Bayer
July 19, 2012

Franklin Ray Mooney
July 18, 2012

Peter Anthony Mazzara
July 18, 2012

Steven Robert Trimble
July 18, 2012

Charlise Darcel Williams
July 17, 2012

Calvin Grigsby
Grigsby and Associates, Inc

July 16, 2012

Deutsche Bank Securities Inc.
July 16, 2012

Deutsche Bank Securities Inc
July 15, 2012

Raymond James & Associates, Inc.
Raymond James Financial Services, Inc.

July 16, 2012

Raymond James & Associates, Inc.
Raymond James Financial Services, Inc.

July 16, 2012

Andrew V. Dungey
Dragon Fire Solutions, Inc.

July 12, 2012

Andrew Michael Allison
June 11, 2012

Darcey L. Folkerts
Robert McAvoy
Full Circle Strategies, Ltd
Mega Cash Flow Investments, Inc.

July 11, 2012

John Joseph Betterman
July 11, 2012

Michael Macis
July 11, 2012

Credit Suisse Securities (USA) LLC
July 10, 2012

Credit Suisse Securities (USA) LLC
July 10, 2012

ATG Securities, LLC
July 9, 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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