Enforcement Actions Administrative

May 3
2000

Order No. REV-1393

In the Matter of the Revocation of the Agent Registration of Darrell Wayne Provost

Apr 28
2000

Order No. CDO-1392

In the Matter of U.S. Professionals, Inc., Benjamin Young, and Kirk Michael Streuling

Apr 12
2000

Order No. CP-1391

In the Matter of Wiltrust.com; Wiltrust.WS; Dave Dunn & Associates; and Dave Dunn

Mar 21
2000

Order No. CDO-1390

In the Matter of Ozgo Financial Services and Tom Ozgo

Mar 6
2000

Order No. SSO-1389

In the Matter of First Financial Planners, Inc.; FFP Securities, Inc.; and FFP Advisory Services, Inc.

Feb 17
2000

Order No. CAF-1388

In the Matter of the Investment Adviser Registration of Lifeway Financial Corporation and the Agent Registration of David Thomas Brunson

Jan 31
2000

Order No. CAF-1387

In the Matter of the Dealer Registration of Burke, Lawton, Brewer & Burke and the Agent Registration of Franklin Arden Burke

Jan 26
2000

Order No. CAF-1386

In the Matter of the Investment Adviser Registration of Felix Garcia

Jan 21
2000

Order No. FIN-1385

In the Matter of Mountain States Capital, Inc.

Jan 20
2000

Order No. CDO/FIN-1384

In the Matter of Charles W.L. Johnson, Jr. d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group; Nhat Hoai Ngo d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group; and Ricky Don Kincaid, Jr. d/b/a Matrix Trading Group, Inc. d/b/a Spot Trading Group