Dec 30
2008

Order No. IC08-CAF-22

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF ROBERT BRIAN GLENN, THE INVESTMENT ADVISER REGISTRATION OF RG ADVISORS, INC., AND THE DEALER REGISTRATION OF LPL FINANCIAL CORPORATION

Dec 11
2008

Order No. IC08-CAF-21

IN THE MATTER OF THE DEALER REGISTRATION OF CITIGROUP GLOBAL MARKETS, INC.

Nov 20
2008

Order No. IC08-SUS-19

IN THE MATTER OF THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF JOSE MIGUEL ITURBE

Nov 17
2008

Order No. IC08-REV-18

IN THE MATTER OF THE DEALER REGISTRATION OF FOX & COMPANY INVESTMENTS, INC.

Nov 14
2008

Order No. IC08-CAF-17

IN THE MATTER OF THE AGENT REGISTRATION OF STEVEN M. KNOWLTON AND THE DEALER REGISTRATION OF IMS SECURITIES, INC.

Oct 15
2008

Order No. ENF-08-CDO-1663

IN THE MATTER OF ROCKWALL OIL COMPANY, BLACK LAKE ENERGY, INC., D/B/A ROCK WALL OIL COMPANY AND WAYNE A. RAND

Oct 15
2008

Order No. ENF-08-CDO-1662

IN THE MATTER OF KENSINGTON RESOURCES, INC.; NANCY MASSA; BLAKE WARD AND MICHAEL LOMBARD

Oct 14
2008

Order No. IC08-CEN-16

IN THE MATTER OF THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF ALEX FRANCIS WEISBERG, JR.

Oct 2
2008

Order No. IC08-CDO-15

IN THE MATTER OF THE DEALER REGISTRATION OF MORGAN STANLEY & CO. INCORPORATED

Sep 30
2008

Order No. IC08-SUS-14

IN THE MATTER OF THE INVESTMENT ADVISOR REGISTRATION OF JOSEPH ANDREW ACCIARITO

Sep 30
2008

Order No. IC08-CDO-13

IN THE MATTER OF MATIHEW B. BURNHAM AND THE INVESTMENT ADVISOR REGISTRATION OF CRUDEN BAY CAPITAL PARTNERS GP, LP

Sep 22
2008

Order No. IC08-CAF-12

IN THE MATTER OF THE DEALER REGISTRATION OF SWS FINANCIAL SERVICES, INC.

Aug 25
2008

Order No. IC08-SUS-11

IN THE MATTER OF THE AGENT REGISTRATION OF JOHN MICHAEL CURRAN AND THE DEALER REGISTRATION OF EDI FINANCIAL, INC.

Aug 14
2008

Order No. IC08-REV-10

IN THE MATTER OF THE DEALER REGISTRATION OF COSTA FINANCIAL SECURITIES, INC.

Aug 12
2008

Order No. IC08-SUS-09

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF STANLEY EARNEST PYNDUS, JR.

Jul 23
2008

Order No. IC08-CAF-08

IN THE MATIER OF THE APPLICATIONS FOR THE INVESTMENT ADVISER REGISTRATION OF SELECT ASSET MANAGEMENT, LLC AND THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF BRIAN ANTHONY BJOR

Jul 21
2008

Order No. IC08-CAF-07

In the Matter of the Dealer Registration of Morgan Stanley & Co.: Reprimand, Fine

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