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SECURITIES

Administrative Actions

2012

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

James Edwin Stolte
June 29, 2012

Lois Marie Wollney
June 29, 2012

Anthony Joseph Baldassano
June 28, 2012

James M. Benages
June 28, 2012

Rhona Ellen Vogel
June 28, 2012

Richard Christopher Riley
June 28, 2012

William Thomas Read III
June 28, 2012

Eric Berg
June 26, 2012

Jeremy Scott Goldman
June 20, 2012

Roger Lawrence Wohlner
June 20, 2012

William Craft Hansing
June 20, 2012

William James Harris
June 20, 2012

Yitzhok Alexander Fox
June 20, 2012

Morgan Asset Management, Inc.
Morgan Keegan & Company, Inc.
June 19, 2012

Anthony Joseph Baldassano
June 18, 2012

Ryan Matthew Poss
June 18, 2012

Steven Axelbaum
Rosalie Barrett
Brian D. Bucher
Vickie Ham
Astoria Gardens & Rehab Center LLC
Astoria Gardens LLC
The Investment Group
June 15, 2012

Matthew Sapaula
Matthew Sapaula Inc
June 12, 2012

RBC Capital Markets Corporation
June 12, 2012

RBC Capital Markets Corporation
June 12, 2012

Andrew Michael Allison
June 11, 2012

Armand Bernard McCarroll
June 11, 2012

Brian Curtis Ullrich
June 11, 2012

Charles Stephen Williams
June 11, 2012

David Joseph Poznanski
June 11, 2012

Eric Berg
June 11, 2012

Fernaldo Corneilus Miller
June 11, 2012

Franklin Ray Mooney
June 11, 2012

Gerald Joseph Anderson
June 11, 2012

James M. Benages
June 11, 2012

James Edwin Stolte
June 11, 2012

Jamie Lynn Jasinski
June 11, 2012

Jeremy Scott Goldman
June 11, 2012

John Joseph Betterman
June 11, 2012

Lawrence Calvin Mason Jr.
June 11, 2012

Lois Marie Wollney
June 11, 2012

Michael Dean Farnsworth
June 11, 2012

Michael G. Murray
June 11, 2012

Patrick Michael Malcolm
June 11, 2012

Peter Richard Bukowski
June 11, 2012

Rhona Ellen Vogel
June 11, 2012

Richard Christopher Riley
June 11, 2012

Robert Mather Harbour
June 11, 2012

Roger Lawrence Wohlner
June 11, 2012

Steven Kent
June 11, 2012

Steven Robert Trimble
June 11, 2012

William Craft Hansing
June 11, 2012

William James Harris
June 11, 2012

William Laluz Jr.
June 11, 2012

William Thomas Read III
June 11, 2012

Kevin Gerald Kolz
June 7, 2012

Morgan Asset Management, Inc.
Morgan Keegan & Company, Inc.
June 4, 2012

Karen S. Revelle
Brett K. Revelle
Joseph J. Revelle
Revelle Resources Inc
June 1, 2012

Legend Merchant Group, Inc.
June 1, 2012

Mohammed I. Khan
Ink Global Consulting, Inc.
Ink Global, LLC
Ink Global Capital, LLC
June 1, 2012

The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.

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