As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Corey Peterson of Arizona was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, William E. Olivares of New York was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Miriam L. Lopez of Arizona was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Randol Craig Key of Texas was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Ray Christopher M. Harper of California was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Mary A. Griswold of Rhode Island was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of the Division of Professional Regulation, Donald W. Seasock, signed the following disciplinary actions taken during the month of March, 2011, as per which John Kiss of South Barrington, a certified public accountant license (065-012434) was indefinitely suspended following his suspension by US Securities and Exchange Commission of appearing or practicing before the Commission as an accountant.
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of the Division of Professional Regulation, Donald W. Seasock, signed the following disciplinary actions taken during the month of March, 2011, as per which John Dwyer of Glen Ellyn, a certified public accountant license (065-015325) was revoked following suspension of the right to practice before the US Securities and Exchange Commission.
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of the Division of Professional Regulation, Donald W. Seasock, signed the following disciplinary actions taken during the month of March, 2011, as per which James Clark of Orland Park, a certified public accountant license (065-018181) was reprimanded for failure to timely complete a qualified retirement plan audit.
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of Professional Regulation, Donald W. Seasock; and the Directors of Financial Institutions, Robert Meza; and Banking, Manny Flores signed the following disciplinary orders in the month of February, 2011, as per which Mark Sever of Burr Ridge, a certified public accountant license (065-018761) was indefinitely suspended following suspension by US Securities and Exchange Commission of appearing or practicing before the Commission as an accountant.
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of Professional Regulation, Donald W. Seasock; and the Directors of Financial Institutions, Robert Meza; and Banking, Manny Flores signed the following disciplinary orders in the month of February, 2011, as per which Kenneth Peterson of Chicago, a certified public accountant license (065-016399) was indefinitely suspended following suspension by US Securities and Exchange Commission of appearing or practicing before the Commission as an accountant.
The Illinois Department of Financial and Professional Regulation (IDFPR) announced that the Acting Director of Professional Regulation, Donald W. Seasock; and the Directors of Financial Institutions, Robert Meza; and Banking, Manny Flores signed the following disciplinary orders in the month of February, 2011, as per which William Carpenter of Naperville, a certified public accountant license (065-017661) was indefinitely suspended following suspension by US Securities and Exchange Commission of appearing or practicing before the Commission as an accountant.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Shamel Correen Gould of Georgia was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Natalie Dee Gastelum of California was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for July 2011, Michele Eileen Fanner of California was included in the list of individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
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