SECURITIES
Administrative Actions
2012
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
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