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Administrative Orders - Arranged by Date and by Category

General

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Enforcement

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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 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 Consulting Services, LLC Notice of Intent to Issue Cease and Desist Order - (PDF format)
August 4, 2003 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 - (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 1, 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)

 

302 Found

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Found

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