SECURITIES
Administrative Actions
2011
Cecil Allen Watkins
Housing Resources Center of Indiana, Inc.
January 31, 2011
Ron Elting
OX Financial Group
January 28, 2011
Sequoia Group, Inc.
Michael T. Kimmelman
January 28, 2011
Christos Fotiadis
January 27, 2011
Peter Anthony Mazzara
January 26, 2011
Groupe 369 Corp.
January 25, 2011
GZ Gourmet Food and Beverage, Inc.
R. Richard Saxby
January 24, 2011
George Dragel
January 21, 2011
Screen Media Technology, Inc.
James R. Schuler
January 19, 2011
Stewart International Consultants, LTD.
Patricia A. Stewart
January 19, 2011
Jarid Brown
January 14, 2011
Ryan N. Shubin
January 13, 2011
Ryan N. Shubin
January 12, 2011
Charles Schwab & Co., Inc.
Charles Schwab Investment Management, Inc.
January 11, 2011
William R. Colston
January 11, 2011
William R. Colston
January 10, 2011
Charles Schwab & Co., Inc.
Charles Schwab Investment Management, Inc.
January 10, 2011
James R. Pecoraro
January 7, 2011
Kevin McPhee
January 5, 2011
Lucher Holloway
It's Clean U.S.A., LLC
January 4, 2011
Edward L. Moskop
Financial Services Moskop & Associates, Inc.
January 3, 2011
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