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SECURITIES

Administrative Actions

2010

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

Lambert Clark Group, L.L.C.
Kevin James Reed
March 31, 2010

Theodore "Ted" J. Hogan
a/k/a Ted Kills in the Fog
Theodore J. Hogan & Associates LLC
March 31, 2010

Mark McEwen
March 29, 2010

Michael Rivers
MR2 Enterprises
March 29, 2010

Wachovia Securities, LLC
Wachovia Capital Markets, LLC
March 29, 2010

Wachovia Securities, LLC
Wachovia Capital Markets, LLC
March 29, 2010

David Kastner
March 26, 2010

Donald James
March 26, 2010

Groupe 369 Corp.
March 25, 2010

Lambert Clark Group, L.L.C.
LCG Global Assets Limited
Kevin James Reed
March 26, 2010

Mohammad A. Ullah
Atlantis Investment Corporation
March 26, 2010

Ira Nitzkin
March 25, 2010

Preston Runyan
March 24, 2010

Goldman, Sachs & Co.
March 19, 2010

Goldman, Sachs & Co.
March 19, 2010

Andrea Lake
a/k/a Andrea Adams
Nicky Nicholas
a/k/a Nick Adams
Silvernick, Inc.
March 18, 2010

Brian Bodie
Mortgage Desk Inc.
Duke LeBeau Inc.
Prestar Financial
March 17, 2010

City State Financial
March 17, 2010

Donald M. Medley
Donald M. Medley, Inc.
March 17, 2010

Jacqueline Boykin
March 17, 2010

Daniel Parrilli
Christopher Anderson
Sundown Entertainment, Inc.
Bonner Productions, Inc.
March 12, 2010

Kevin O. Pritchett
Kevin Pritchett & Associates Retirement Planning, Inc.
March 12, 2010

Chris Zander
Amy Zander
Zander's Old Town Brewery, Inc.
Zander Management, LLC
March 11, 2010

Kevin James Reed
Lambert Clark Group, LLC
March 10, 2010

Martin P. Travis
The Scarlet Group, Inc.
March 10, 2010

Richard J. Osty
a/k/a Ostapowicz
Ronald Moore
RO Financial Group, LLC
RKM, Inc.
Heritage Community Homes, Inc.
Building Design System, LLC
March 10, 2010

Kapil S. Shah
March 9, 2010

Steven J. Simone
March 9, 2010

Edward N. Colburn Jr.
March 8, 2010

Universal Finance
March 8, 2010

U.S. Filing Services
March 8, 2010

City State Financial
March 5, 2010

Credit Hub Financial Services
March 5, 2010

James David Browning
a/k/a Dave Browning
ER Urgent Care Management Co., Inc.
ER Urgent Care Holdings, Inc.
March 4, 2010

Phil Lorezca
XL Gum
March 4, 2010

Metro East Insurance Group
Victoria Renois McGee-Harris
March 2, 2010

PrimeVest Financial Services
March 2, 2010

Glenn John Kozeluh
March 1, 2010

Francois E. Durmaz
Robert C. Pribilski
USA Retirement Management Services, Inc.
March 1, 2010

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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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