Dec 22
2009

Docket No. IC10-01

Pending hearing on request to revoke the registrations of Triton Financial LLC and Kurt Branham Barton

Dec 3
2009

Order No. ENF-09-CDO/FIN-1680

In the Matter of 808 Investments LLC; 808 Energy 2 LLC; 808 Energy LLC; and Patrick S Carter: Cease and Desist Order, Fine

Nov 17
2009

Order No. IC09-SUS-27

In the Matter of the Dealer Registration of The Street Inc. and the Agent Registration of Robert Wesley Stout: Suspensions

Oct 16
2009

Order No. IC09-CDO-25

IN THE MATTER OF THE DEALER REGISTRATION OF RBC CAPITAL MARKETS CORPORTION

Oct 16
2009

Order No. IC09-REV-24

IN THE MATTER OF INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF JEREMY MCGILVREY AND THE INVESTMENT ADVISER REGISTRATION OF HCW ASSET MANAGEMENT, LLC

Oct 8
2009

Order No. IC09-SUS-23

IN THE MATTER OF THE DEALER REGISTRATION OF CAPROCK SECURITIES, INC. AND THE AGENT REGISTRATION OF DARYL ALLISON

Sep 23
2009

Order No. IC09-SUS-22

IN THE MATTER OF THE APPLICATION FOR THE INVESTMENT ADVISER REPRESENTATIVE AND AGENT REGISTRATIONS OF NOOR SIRAJ AMIRALI

Sep 11
2009

Order No. IC09-CAF-21

IN THE MATTER OF THE SALE AND MARKETING OF AUCTION RATE SECURITIES BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 9
2009

Order No. ENF-09-CDO-1676

IN THE MATTER OF ANDREW W. WEST A/K/A ANDY WEST AND ERIC WILLIAM KELLER A/K/A ERIC KELLER, RESPONDENTS

Sep 8
2009

Order No. IC09-CAF-20

IN THE MATTER OF THE DEALER REGISTRATION OF MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 3
2009

Order No. IC09-SUS-18

IN THE MATTER OF THE AGENT REGISTRATIONS OF DOUGLAS RAY BOUSAID AND KYLE TIMOTHY HOLLAND, THE DEALER REGISTRATION OF FIFTH STREET CAPITAL, LLC, AND THE APPLICATION FOR AGENT REGISTRATION OF BRIAN GRAYSON KIDDER

Aug 28
2009

Order No. IC09-REV-16

IN THE MATTER OF THE DEALER REGISTRATION OF BROAD STREET SECURITIES, INC.

Aug 4
2009

Order No. IC09-SUS-15

IN THE MATTER OF THE DEALER REGISTRATION OF INVESTORS CAPITAL CORP. AND THE AGENT REGISTRATIONS OF ROBERT EDWARD GROUX SR. AND NOEL RAY VINCENT

Jul 23
2009

Order No. IC09-CAF-14

IN THE MATTER OF THE DEALER REGISTRATION OF MARINER INVESTMENT GROUP AND THE AGENT REGISTRATION OF JOE FARNHAM MOORE, JR.

Jul 3
2009

Order No. IC09-CDO-13

IN THE MATTER OF THE DEALER REGISTRATIONS OF BANC OF AMERICA SECURITIES LLC AND BANC OF AMERICA INVESTMENT SERVICES, INC.

May 19
2009

Order No. IC09-CAF-12

IN THE MATTER OF THE DEALER AND INVESTMENT ADVISER REGISTRATION OF MILKIE/FERGUSON INVESTMENTS, INC.

May 15
2009

Order No. IC09-CDO-11

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF JOSE LUIS VINAS

May 8
2009

Order No. ENF-09-CDO-1673

IN THE MATTER OF PENTULTIMATE ASSOCIATES, LLC; GOLD RIBBON FINANCIAL; AND DAVID J. RIBEIRO

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