Nov 10
2003

Order No. CAF-1548

In the Matter of the Applications for Investment Adviser and Investment Adviser Represenative Registration of Top of Texas Financial Strategies, Inc., and Patrick Henry Phillips, Jr.

Oct 31
2003

Order No. CDO/FIN-1546

In the Matter of the Dealer Registration of CitiGroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.

Oct 13
2003

Order No. CDO/FIN-1543

In the Matter of the Dealer Registration of Morgan Stanley & Co. Incorporated

Oct 10
2003

Order No. CDO-1542

In the Matter of NSI Development Corporation; Joe Loofbourrow and George Edwards

Sep 23
2003

Order No. CDO/FIN-1539

In the Matter of the Dealer Registration of U.S. Bancorp Piper Jaffray Inc.

Sep 23
2003

Order No. CDO-1540

In the Matter of National CD Brokers AKA NCDB; Phil Head; Harris I. Strong and Rita Brychta

Sep 22
2003

Order No. CDO-1538

In the Matter of Thell G. Prueitt DBA Fresh Start Funding Group; David K. Hughes; ATM Marketing, Inc.; Paul R. Miller; and ATM Mangement, Inc.

Sep 18
2003

Order No. CDO/FIN-1537

In the Matter of the Dealer Registration of Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation

Sep 17
2003

Order No. CDO/FIN-1535

In the Matter of the Dealer Registrations of UBS Warburg LLC and UBS Painewebber Inc.

Sep 17
2003

Order No. CAF-1536

In the Matter of the Dealer Registration of Ameritas Investment Corporation

Sep 5
2003

Order No. CAF-1534

In the Matter of the Dealer Registration of Goldman, Sachs & Co.

Sep 2
2003

Order No. CAF/SUS-1528

In the Matter of the Application for Agent Registration of Stephen Christopher Plunkett

Sep 2
2003

Order No. CAF/SUS-1529

In the Matter of the Application for Agent Registration of William Paul Hudson

Sep 2
2003

Order No. CAF/SUS-1530

In the Matter of the Application for Agent Registration of Tony Eugene Morrison

Sep 2
2003

Order No. CAF/SUS-1531

In the Matter of the Application for Agent Registration of Kenneth Paul Lawrence

Sep 2
2003

Order No. CAF/SUS-1532

In the Matter of the Application for Agent Registration of Christopher Rene Madrid

Sep 2
2003

Order No. CDO/FIN-1533

In the Matter of Northstar Energy, Inc.; Larry M. Koonce; and Paul M. Esposito

Aug 26
2003

Order No. CDO-1527

In the Matter of Softnet Communications Caribbean Ltd., and Stewart Warner

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