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Administrative Orders - Arranged by Date and by Category

General

September 11, 2007 Fees for Furnishing Records

 

Enforcement

September 2, 2009 Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 17, 2009 JPMorgan Chase & Co.
August 6, 2009 RBC Capital Markets Corporation
July 23, 2009 Banc of America Securities LLC and Banc of America Investment Services, Inc.
June 12, 2009 Prosper Marketplace, Inc.
April 16, 2009 Citigroup Global Markets Inc.
April 7, 2009 Roy E. Allen
March 25, 2009 Wachovia Securities, LLC and Wachovia Capital Markets, LLC
March 5, 2009 Roy E. Allen
December 15, 2008 Paul A. Dyer
November 14, 2008 Morgan Stanley & Co. Incorporated
September 25, 2008 James A. Rivera, Apostles, Inc., Almighty Wind, Inc., and all affiliated companies
June 23, 2008 Nicholas J. Slabbert
May 23, 2008 Paul A. Dyer
February 22, 2008 Malory Investments LLC Ronald Stein and Sylvia Gorohoff
January 2, 2008 David J. Deschaine and David J. Deschaine Installations, Inc.
January 2, 2008 Malory Investments LLC Ronald Stein and Sylvia Gorohoff
December 13, 2007 James L. Clifford
August 6, 2007 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
August 6, 2007 Garden State Securities, Inc.
June 8, 2007 Startup Essentials, LLC
May 14, 2007 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
April 13, 2007 Debt Free Organic Foundation and Penny Gabardi and Julie Jacobs
January 17, 2007 James L. Clifford
January 8, 2007 David R. Loeser and D.R. Loeser & Co., Inc.
December 6, 2006 Hope Scharf Tengonciang and Donald Poulin
November 29, 2006 Paul J. Pombriant
November 28, 2006 James L. Clifford
November 27, 2006 Startup Essentials, LLC
November 15, 2006 Rosewood Energy, LLC, d/b/a Rosewood Energy, Inc., and Clement I. Ejedawe
October 27, 2006 Chad M. Luce
October 12, 2006 Steven K. Maidlow
September 26, 2006 Chad M. Luce
August 31, 2006 Steven K. Maidlow
August 11, 2006 Wachovia Capital Markets, LLC
July 24, 2006 John S. Pettigrew
May 25, 2006 John S. Pettigrew
May 18, 2006 Paul J. Pombriant
May 5, 2006 Hope Scharf Tengonciang and Donald Poulin
March 5, 2009 Roy E. Allen

Notice of Intent
April 20, 2006 Woso Energy Corp., Osinmen E. Sunday, Oziengbe E. Williams & Merricks J. Purdhomme, Sr.

Order to Cease and Desisit and Imposing a Civil Penalty (PDF format)

April 20, 2006 Matrix Petroleum, Inc., Thomas R. Watkins & Brock Watkins Order to Cease and Desist and Imposing a Civil Penalty - (PDF format)
March 16, 2006 Woso Energy Corp., Osinmen E. Sunday, Oziengbe E. Williams & Merricks J. Purdhomme, Sr.

Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)

 
March 16, 2006 Matrix Petroleum, Inc., Thomas R. Watkins & Brock Watkins Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)
March 2, 2006 CPFS, Inc. Pinnacle Support Systems Inc., Larry C. nelson, Donna T. Nelson, Craig N. Salomon & Thomas Greene Consent Order to Cease and Desist and Imposing a Civil Penalty - (PDF format)
February 21, 2006 Larry Robert Balliet Consent Order - (PDF format)
January 31, 2006 Hope Scharf Tengonciang and Donald Poulin Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)
September 20, 2005 Jesup & Lamont Securities Corp. Consent Order - (PDF format)
September 20, 2005 Marketing Solutions International, Inc. and Consolidated Marketing Group, LC Cease and Desist Order - (PDF format)
September 15, 2005 Hurricane Katrina, Persons Displaced Due To Order Granting Temporary Exemptions - (PDF format)
August 18, 2005 Marketing Solutions International, Inc. & Consolidated Marketing Group LLC Notice of Intent to Issue Cease and Desist Order - (PDF format)
May 17, 2005 Bodell Overcash Anderson & Co., Inc. Consent Order - (PDF format)
March 29, 2005 Thomas Weisel Partners, LLC

Consent Order - (PDF format)

Addendum A (PDF format)
March 16, 2005 Deutsche Bank Securities, Inc.

Consent Order - (PDF format)

Addendum A (PDF format)
March 8, 2005 LH Ross & Co., Inc. & Franklin Ross Michelin Order Revoking a Broker-Dealer and Sales Representative License - (PDF format)
February 4, 2005 LH Ross & Co., Inc. & Franklin Ross Michelin Notice of Intent to Revoke a Broker-Dealer and Sales Representative License - (PDF format)
January 3, 2005 Aptus Technology Corp., Hirak Biswas, Joseph Orlando, & Apurba Mukherjee Order to Cease and Desist and Imposing a Civil Penalty - (PDF format)
December 22, 2004 Mid-Continent Oil & Gas Inc. Consent Order with Casey Ladymon and Willis - (PDF format)
December 3, 2004 Ronald M. Nickerson Order to Cease and Desist and Imposing a Civil Penalty - (PDF format)
November 15, 2004 Aptus Technology Corp., Hirak Biswas, Joseph Orlando, & Apurba Mukherjee Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)
October 22, 2004 Ronald M. Nickerson Notice of Intent to Issue a Cease and Desist Order and Impose a Civil Penalty - (PDF format)
October 10, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Basquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse Consent Order - (PDF format)
August 25, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Basquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse Cease and Desist Order - (PDF format)
May 17, 2004 Gary L. Hobbs Order Revoking a Sales Representative License and Barring Him from Association and Imposing a Civil Penalty - (PDF format)
March 25, 2004 Parasol Films II, Inc., Parasol Films II, LLC, Erik Basquero, Dean McDaniel, Daniel Duarte, Nicholas Melisse Notice of Intent to Issue Cease and Desist Order - (PDF format)
March 15, 2004 Trinity Consulting Services, LLC, et al. Cease and Desist Order - (PDF format)
March 15, 2004 Mid-Continent Oil & Gas Inc. Cease and Desist Order - (PDF format)
February 18, 2004 Trinity Consulting Services, LLC, et al. Consent Order - (PDF format)
January 29, 2004 Mid-Continent Oil & Gas Inc. Notice of Intent to Issue Cease and Desist Order - (PDF format)
January 27, 2004 Gary L. Hobbs Notice of Intent to Revoke a Sales Representative License and Bar Him from Association and to Impose a Civil Penalty - (PDF format)
December 1, 2003 Trinity Consulting Services, LLC, et al. Consent Order - (PDF format)
November 24, 2003 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 Cease and Desist Order - (PDF format)
November 7, 2003 AGM International Inc., a/k/a Money4U.net Cease and Desist Order - (PDF format)
September 25, 2003
 Kristopher T. Saunders Order - (PDF format)
September 23, 2003 AGM International Inc., a/k/a Money4U.net Notice of Intent to Issue Cease and Desist Order - (PDF format)
September 23, 2003 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 - (PDF format)
September 22, 2003 Credit Suisse First Boston LLC f/k/a/ Credit Suisse First Boston Corporation

Consent Order - (PDF format)

Addendum A (PDF format)
September 5, 2003 James L. Paris Financial Services, Inc. and Carmen G. Paris Order to Impose a Civil Penalty, Censure and Cease and Desist Against Respondents (PDF format)
September 5, 2003 Citigroup Global Markets Inc. (f/k/a/ Salomon Smith Barney Inc.)

Consent Order - (PDF format)

Addendum A (PDF format)
September 2, 2003 Morgan Stanley & Co., Inc.

Consent Order - (PDF format)

Addendum A (PDF format)
August 28, 2003 Bear, Stearns & Co., Inc. Consent Order - (PDF format)

Addendum A  (PDF format)
August 28, 2003 U.S. Bancorp Piper Jaffray Inc.

Consent Order - (PDF format)

Addendum A (PDF format)
August 28, 2003 Lehman Brothers Inc.

Consent Order - (PDF format)

Addendum A (PDF format)
August 27, 2003 Goldman, Sachs & Co.

Consent Order - (PDF format)

Addendum A (PDF format)

August 25, 2003 UBS Warburg LLC

Consent Order - (PDF format)

Addendum A (PDF format)
August 18, 2003 Trinity Counseling Services, LLC Notice of Intent to Issue Cease and Desist Order - (PDF format)
August 7, 2003 Kristopher T. Saunders Complaint for Punitive and Remedial Sanctions for Contempt of Court - (PDF format)
August 4, 2003 Jame 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 - (PDF format)
July 14, 2003 New Life Corp. of America d/b/a National Community Foundation & Paul E. Richard Consent Order - (PDF format)
April 16, 2003 Acument Securities, Inc., Robert T. Angle, Thomas White & William M. McCarty Order to Cease and Desist and to Bar McCarty from Association - (PDF format)
February 19, 2003 Pruco Securities Corp. Censure of Broker-Dealer - (PDF format)
February 14, 2003 New Life Corp. of American & Paul Richard Summary Cease and Desist Order - (PDF format)
January 28, 2003 OneShare.com Consent Order - (PDF format)
January 14, 2003 Web Booth Inc. et al. Cease and Desist Order - (PDF format)
January 14, 2003 Alpha Tel-Com, Inc. et al. Cease and Desist Order - (PDF format)
December 31, 2002 Pruco Securities Corp. Notice of Intent to Censure Broker-Dealer - (PDF format)
November 15, 2002 Downeast Capital & Paul Newman Consent Order - (PDF format)
November 4, 2002 Web Booth Inc. et al. Notice of Intent to Issue Cease and Desist Order - (PDF format)
November 1, 2002 Alpha Tel-Com, Inc. et al. Notice of Intent to Issue Cease and Desist Order - (PDF format)
October 8, 2002
 Acument Securities, Inc. Amended Notice of Intent to Issue a Cease and Desist Order and to Impose a Civil Penalty Against Respondednts, 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 - (PDF format)
June 24, 2002 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 - (PDF format)
March 2, 2002
 Mid-Ohio Securities Corp. Cease and Desist Order - (PDF format)
December 17, 2001 Robert Kenneth Lindell, Jr. Consent Order - (PDF format)
October 23, 2001 Robert Kenneth Lindell, Jr. Notice of Intent to Revoke a Sales Representative License, to Bar from Association and to Impose a Civil Penalty - (PDF format)
October 18, 2001 PayDay Cease and Desist Order - (PDF format)
October 9, 2001
 Mid-Ohio Securities Corp. Notice of Intent to Issue Cease and Desist Order (Amended) - (PDF format
September 17, 2001 PayDay Notice of Intent to Issue Cease and Desist Order - (PDF format)
July 17, 2001 Knipping Cease and Desist Order - (PDF format)
July 6, 2001 Mid-Ohio Securities Corp. Notice of Intent to Issue Cease and Desist Order - (PDF format)

September 13, 2000

Michael L. Hancock

Summary Order to Cease and Desist - (PDF format)

 

Last Updated: September 29, 2009 10:39 AM