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Securities & Investment Regulation
OTHER PFR AGENCIES |
Administrative Orders - Arranged Alphabetically by CategoryGeneralFees for Furnishing Records- EnforcementAGM International Inc., a/k/a Money4U.net- Notice of Intent to Issue Cease and Desist Order - September 23, 2003 (PDF format) - Cease and Desist Order - November 7, 2003 (PDF format) Acument Securities, Inc.- Notice of Intent to Issue a Cease and Desist Order, and to Impose a Civil Penalty Against McCarty, and to Bar from Association, and to Revoke the Broker-Dealer License of Acument, and to Impose a Civil Penalty Upon Acument- June 24, 2002 (PDF format) - Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondents, to Bar McCarty from Association, to Revoke the Broker-Dealer License of Acument, to Censure or Revoke the Sales Representative License of Angle, and to Censure or Bar White from Association - October 8, 2002 (PDF format) - Order to Cease and Desist and to Bar McCarty from Association - April 16, 2003 (PDF format) Alpha Tel-Com, Inc., et al- Notice of Intent to Issue Cease and Desist Order - November 1, 2002 (PDF format) - Cease and Desist Order - January 14, 2003 (PDF format) Aptus Technology Corporation, Hirak Biswas, Joseph Orlando and Apurba Mukherjee- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty November 15, 2004 (PDF format) - Order to Cease and Desist and Imposing a Civil Penalty - January 3, 2005 (PDF format) Larry Robert Balliet- Consent Order - February 21, 2006 (PDF format) Bear, Stearns & Co. Inc.- Consent Order - August 28, 2003 (PDF format) B.I.Z. Holdings, Inc. d/b/a U.S. Metals Schlecht Group, Inc. d/b/a U.S. Metals Arthur Schlecht, Bernard I. Zeff, Martin Jainchill and Roberta Couri- Notice of Intent to Issue a Cease and Desist Order - September 23, 2003 (PDF format) - Cease and Desist Order - November 24, 2003 (PDF format) Bodell Overcash Anderson & Co., Inc.- Consent Order - May 17, 2005 (PDF format) CPFS, Inc., Pinnacle Support Systems Inc., Larry C. Nelson, Donna T. Nelson, Craig N. Salomon and Thomas Greene- Consent Order to Cease and Desist and Imposing a Civil Penalty - March 2, 2006 (PDF format) Citigroup Global Markets Inc. (f/k/a Salomon Smith Barney Inc.)- Consent Order - September 5, 2003 (PDF format) - Addendum A (PDF format) James L. Clifford- - - Credit Suisse First Boston City LLC f/k/a Credit Suisse First Boston Corporation- Consent Order - September 22, 2003 (PDF format) - Addendum A (PDF format) Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs- David J. Deschaine and David J. Deschaine Installations, Inc.- Deutsche Bank Securities, Inc.- Consent Order - March 16, 2005 (PDF format) - Addendum A (PDF format) Downeast Capital and Paul Newman- Consent Order - November 15, 2002 (PDF format) Garden State Securities, Inc.- Goldman, Sachs & Co.- Consent Order - August 27, 2003 (PDF format) Michael L. Hancock- Summary Order to Cease and Desist - September 13, 2000 (PDF format) Gary L. Hobbs- Notice of Intent to Revoke a Sales Representative License and Bar Him from Association and to Impose a Civil Penalty - January 27, 2004 (PDF format) - Order Revoking a Sales Representative License and Barring Him from Association and Imposing a Civil Penalty - May 17, 2004 (PDF format) Hurricane Katrina, Persons Displaced Due To- Order Granting Temporary Exemptions- September 15, 2005 (PDF format) J. P. Morgan Securities Inc.- Consent Order - August
28, 2003 (PDF format) Jesup & Lamont Securities Corp.- Consent Order - September 20, 2005 (PDF format) Knipping- Cease and Desist Order - July 17, 2001 (PDF format) LH Ross & Company, Inc. and Franklyn Ross Michelin- Notice of Intent to Revoke a Broker-Dealer and Sales Representative License - February 4, 2005 (PDF format) - Order Revoking a Broker-Dealer and Sales Representative License - March 8, 2005 (PDF format) Lehman Brothers Inc.- Consent Order - August 28, 2003 (PDF format) - Addendum A (PDF format) Robert Kenneth Lindell, Jr.- Notice of Intent to Revoke a Sales Representative License, to Bar from Association and to Impose a Civil Penalty - October 23, 2001 (PDF format) - Consent Order - December 17, 2001 (PDF format) David R. Loeser and D.R. Loeser & Co., Inc.- Chad M. Luce- - Steven K. Maidlow- - Malory Investments LLC Ronald Stein and Sylvia Gorohoff- - Marketing Solutions International, Inc. and Consolidated Marketing Group, LC- Notice of Intent to Issue Cease and Desist Order - August 18, 2005 (PDF format) - Cease and Desist Order - September 20, 2005 (PDF format) Matrix Petoleum, Inc., Thomas R. Watkins and Brock Watkins- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - March 16, 2006 (PDF format) - Order to Cease and Desist and Imposing a Civil Penalty - April 20, 2006 (PDF format) Mid-Continent Oil and Gas Inc.- Notice of Intent to Issue Cease and Desist Order - January 29, 2004 (PDF format) - Cease and Desist Order - March 15, 2004 (PDF format) - Consent Order with Casey Ladymon and Willis - December 22, 2004 (PDF format) Mid-Ohio Securities Corp.- Notice of Intent to Issue Cease and Desist Order - July 6, 2001 (PDF format) - Notice of Intent to Issue Cease and Desist Order (Amended) - October 9, 2001 (PDF format) - Cease and Desist Order - March 2, 2002 (PDF format) Morgan Stanley & Co., Inc.- Consent Order - September 2, 2003 (PDF format) - Addendum A (PDF format) New Life Corporation of and Paul Richard- Summary Cease and Desist Order - February 14, 2003 (PDF format) - Consent Order - July 14, 2003 (PDF format) Ronald M. Nickerson- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - October 22, 2004 (PDF format) - Order to Cease and Desist and Imposing a Civil Penalty - December 3, 2004 (PDF format) OneShare.com- Consent Order - January 28, 2003 (PDF format) Parasol Films II, Inc., Parasol Films II, LLC, Erik Baquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse- Notice of Intent to Issue Cease and Desist Order - March 25, 2004 (PDF format) - Cease and Desist Order - August 25, 2004 (PDF format) - Consent Order - October 10, 2004 (PDF format) James L. Paris Financial Services, Inc. and Carmen G. Paris- Notice of Intent to Impose a Civil Penalty, Censure and Issue a Cease and Desist Order Against Respondents or to Bar James L. Paris - August 4, 2003 (PDF format) - Order to Impose a Civil Penalty, Censure and Cease and Desist Against Respondents - September 5, 2003 (PDF format) PayDay- Notice of Intent to Issue Cease and Desist Order - September 17, 2001 (PDF format) - Cease and Desist Order - October 18, 2001 (PDF format) John S. Pettigrew- - Paul J. Pombriant- - Pruco Securities Corporation- Notice of Intent to Censure Broker-Dealer - December 31, 2002 (PDF format) - Censure of Broker-Dealer - February 19, 2003 (PDF format) Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe- - Kristopher T. Saunders- Complaint for Punitive and Remedial Sanctions for Contempt of Court - August 7, 2003 (PDF format) - Order - September 25, 2003 (PDF format) Startup Essentials, LLC- - Hope Scharf Tengonciang and Donald Poulin- Notice of Intent to Issue a Cease and Desist Order and Impose A Civil Penalty - January 31, 2006 (PDF format) - - Thomas Weisel Partners, LLC- Consent Order - March 29, 2005 (PDF format) Trinity Consulting Services, LLC, et al.- Notice of Intent to Issue Cease and Desist Order - August 18, 2003 (PDF format) - Consent Order - December 1, 2003 (PDF format) - Consent Order - February 18, 2004 (PDF format) - Cease and Desist Order - March 15, 2004 (PDF format) UBS Warburg LLC- Consent Order - August 25, 2003 (PDF format) - Addendum A (PDF format) U.S. Bancorp Piper Jaffray Inc.- Consent Order - August 28, 2003 (PDF format) - Addendum A (PDF format) Wachovia Capital Markets, LLC- Web Booth Inc. et al.- Notice of Intent to Issue Cease and Desist Order - November 4, 2002 (PDF format) - Cease and Desist Order - January 14, 2003 (PDF format) Woso Energy Corporation, Osinmen E. Sunday, Oziengbe E. Williams and Merricks J. Purdhomme, Sr.- Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - March 16, 2006 (PDF format) - Order to Cease and Desisit and Imposing a Civil Penalty April 20, 2006 (PDF format)
Last Updated: June 23, 2008 4:19 PM |
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