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Maine.gov> PFR Home > Securities Home Page > Administrative Orders Alphabetical List

Administrative Orders - Arranged Alphabetically by Category

General

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Enforcement

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AGM 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)

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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)

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Larry Robert Balliet

- Consent Order - February 21, 2006 (PDF format)

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Bear, Stearns & Co. Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A   (PDF format)

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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)

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Bodell Overcash Anderson & Co., Inc.

- Consent Order - May 17, 2005 (PDF format)

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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)

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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)

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Deutsche Bank Securities, Inc.

- Consent Order - March 16, 2005 (PDF format)

- Addendum A (PDF format)

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Downeast Capital and Paul Newman

- Consent Order - November 15, 2002 (PDF format)

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Goldman, Sachs & Co.

- Consent Order - August 27, 2003 (PDF format)

- Addendum A (PDF format)

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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)

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Hurricane Katrina, Persons Displaced Due To

- Order Granting Temporary Exemptions- September 15, 2005 (PDF format)

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J. P. Morgan Securities Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A (PDF format)

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Jesup & Lamont Securities Corp.

- Consent Order - September 20, 2005 (PDF format)

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Knipping

- Cease and Desist Order - July 17, 2001 (PDF format)

Lehman Brothers Inc.

- Consent Order - August 28, 2003 (PDF format)

- Addendum A (PDF format)

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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)

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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)

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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)

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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)

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Morgan Stanley & Co., Inc.

- Consent Order - September 2, 2003 (PDF format)

- Addendum A (PDF format)

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New Life Corporation of and Paul Richard

- Summary Cease and Desist Order - February 14, 2003 (PDF format)

- Consent Order - July 14, 2003 (PDF format)

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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)

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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)

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PayDay

- Notice of Intent to Issue Cease and Desist Order - September 17, 2001 (PDF format)

- Cease and Desist Order - October 18, 2001 (PDF format)

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Pruco Securities Corporation

- Notice of Intent to Censure Broker-Dealer - December 31, 2002 (PDF format)

- Censure of Broker-Dealer - February 19, 2003 (PDF format)

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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)

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Thomas Weisel Partners, LLC

- Consent Order - March 29, 2005 (PDF format)

- Addendum A (PDF format)

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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)

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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)

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Web Booth 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)

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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)

 

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