Dec 10
2007

Order No. IC07-SUS-28

IN THE MATTER OF THE APPLICATIONS FOR THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF PATRICIA ANN SHEARER

Dec 10
2007

Order No. IC07-SUS-27

IN THE MATTER OF THE INVESTMENT ADVISER REGISTRATION OF GAMBOA CAPITAL MANAGEMENT INC. AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF MARCOGAMBOA

Nov 8
2007

Order No. IC07-CEN-23

In the Matter of the Investment Adviser Registration of Mederick L. Shaw D/B/A/ Smith & Shaw Investment Co.

Oct 22
2007

Order No. ENF-07-CDO-1642

In the Matter of Kennrich Homes, Inc.;Richard E. Flueckiger; and Kenneth B. Luedecke, Jr.

Oct 15
2007

Order No. IC07-CEN-21

IN THE MATTER OF THE APPLICATION FOR INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF EUGENE CLARENCE HAMMONS

Oct 10
2007

Order No. ENF-07-CDO-1641

IN THE MATTER OF BLUE LOTUS INTERNATIONAL, INC.; THE COMMERCE GUILD, INC.; PRIVATE FUNDING INTERNATIONAL, INC.; DALE HARELIK; MARI TIERNEY AKA MARIE TIERNEY AKA TIERNEY MARIE; AND NICHOLAS J. GUERARD

Aug 24
2007

Order No. IC07-CAF-20

In the Matter of the Dealer Registration of Advanced Planning Securities, Inc.

Aug 14
2007

Order No. IC07-CAF-19

In the Matter of The Applications for the Investment Adviser Registration of Rock Ridge Capital, L.P. and the Investment Adviser Representative Registration of Charles David Scavone

Aug 8
2007

Order No. ENF-07-CDO-1635

In the Matter of Always Consulting, Inc.; Bruce Griffith; David Kevin Lewis; Thomas A. Markham; and Charles Roup

Aug 6
2007

Order No. IC07-REV-18

In the Matter of the Dealer Registration of One Financial Securities, Ltd. and the Agent Registration of Leland Alan Dykes

Jul 23
2007

Order No. IC07-CAF-17

In the Matter of the Investment Adviser Registration of First Western Securities, Inc. and the Agent Registrations of Bryan Craig Kilpatrick Rodney Lee Skelton, and Debbie Kay Wallance

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