Dec 30
2010

Docket No. IC11-01

In the Matter of the Investment Adviser Registration of STS-Advisors Ltd. and the Investment Adviser Representative Registration of Richard Lewis Bruce: Request to Revoke Registrations

Oct 20
2010

Order No. ENF-10-CDO-1695

In the Matter of Executive Brokerage Corporation and Joe A. Bowles III: Emergency Cease and Desist Order

Oct 20
2010

Order No. ENF-10-CDO-1696

In the Matter of Aleris Petroleum LLC and Arthur "Art" Wilson: Emergency Cease and Desist Order

Oct 13
2010

Order No. REG10-CEN-04

In the Matter of the Application for Investment Adviser Representative Registration of Harold Joseph Pascoe: Reprimand

Oct 7
2010

Order No. IC10-CDO-21

In the Matter of the Dealer Registration of Wells Fargo Investments, LLC: Consent Order and Fine

Oct 5
2010

Order No. ENF-10-CDO-1694

In the Matter of Remington Oil and Gas Inc., Rodney K. Williams, Kevin R. Gatewood and Byron L. Winbush: Emergency Cease and Desist Order

Sep 24
2010

Order No. IC10-CDO-20

In the Matter of Alfaro Oil & Gas, LLC; Pinnacle Partners Financial Corporation; and Brian Keith Alfaro

Sep 21
2010

Order No. ENF-10-CDO-1693

In the Matter of Warr Investment Group LLC and James Elton "Jim" Warr and Mark Cuba: Emergency Cease and Desist Order

Sep 7
2010

Order No. ENF-10-CDO-1692

In the Matter of J.R. Gilvin Investments, LLC A/K/A J.R. Gilvin Operating Company and Jack Gilvin: Emergency Cease and Desist Order

Aug 6
2010

Order No. ENF-10-CDO-1691

In the Matter of Oasis Online Technologies Corp. and Christopher Galvin: Cease and Desist Sale of Unregistered Securities

Jul 27
2010

Order No. IC10-CDO-17

In the Matter of the Dealer Registration of Goldman, Sachs & Co.: Fine, Repurchase of Auction Rate Securities

Jul 27
2010

Order No. IC10-CAF-16

In the Matter of the Dealer Registration of H. Beck Inc.: Reprimand, Fine

Jul 12
2010

Order No. IC10-SUS

In the Matter of the Investment Adviser Registration of Sarker Investments LLC and Abraham Mohammed Sarker: Suspension, Cease and Desist, Fine

Jun 22
2010

Order No. REG10-CAF-03

In the Matter of the Applications For Agent and Investment Adviser Representative Registration of Russell Coolidge Newton Jr.: Reprimand; Fine; Registration Granted

Jun 15
2010

Order No. ENF-10-CDO-1690

In the Matter of Aquatic International Networking, LLC D/B/A The Finance Shop, and Michael Lynn McQuade: Agreed Cease and Desist Order

Jun 15
2010

Order No. IC10-CAF-14

In the Matter of the Dealer Registration of Lincoln Financial Securities Corp.: Reprimand, Fine

May 10
2010

Order No. IC10-CAF-13

In the Matter of the Agent Registration of Leon Parvizian: Reprimand; Refusal to Furnish Information to Commissioner

May 3
2010

Order No. IC10-CAF-12

In the Matter of the Dealer Registration of Citigroup Global Markets Inc.: Fine, Reprimand

Apr 8
2010

Order No. IC10-CAF-11

In the Matter of the Dealer Registration of Deutsche Bank Securities Inc: Fine; Repurchase of Auction Rate Securities

Apr 7
2010

Order No. REG10-CAF-02

In the matter of the Application for Investment Adviser Representative Registration of Joseph Leonard Klingen: Reprimand, Fine; Registration Granted

Apr 7
2010

Order No. ENF-10-1688

In the Matter of Martin Graham Tyson Sr.: Agreed Cease and Desist Order

Apr 5
2010

Order No. ENF-10-CDO-1687

In the Matter of AGAP Life Offerings, LLC; Charles D. Madden; and Matthew Searle: Emergency Cease and Desist Order

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