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Cause No : Respondents:
Date Filed From To Action : Entity Type:
   
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FileCause NoDate FiledRespondentsActionsEntity Types
File 17-0002 CA 4/19/2017
LEVIATHAN FINANCIAL MANAGEMENT
STANLEY BLAKE HALL II
Consent Agreement
Final Order
Securities
File DLR-1703-0035 4/11/2017
QUALITY/ T.L. & A. SERVICES
Complaint Dealer
File DLR-1701-0013 4/10/2017
NOEL JR AUTO REBUILDERS & SLS
Complaint Dealer
File DLR-1702-0032 4/10/2017
HOOSIER CAR & TRUCK
Complaint Dealer
File 17-0004 CD 4/6/2017
ALLEN INVESTMENTS & MANAGEMENT, L.P.
RYAN JACOB ALLEN
Cease and Desist Securities
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