Apr 17
2009

Order No. IC09-CAF-10

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF KENNETH DEREK THOMSON

Apr 16
2009

Order No. IC09-CAF-09

IN THE MATTER OF THE INVESTMENT ADVISER REGISTRATION OF CALANDRO ADVISORY SERVICES, INC.

Apr 2
2009

Order No. ENF-09-CDO-1671

IN THE MATTER OF THE STAMFORD GROUP, INC.; STAMFORD PORTFOLIO MANAGEMENT, LLC; STAMFORD GROUP 2004C, LLC; DEBORAH A. WILCOX; KEITH HOLCOMBE; DAVID R. JUNG; RHINO FINANCIAL, INC.; AND DONALD J. BRUMFIELD

Mar 23
2009

Order No. ENF-09-CDO-1669

IN THE MATTER OF ASPEN EXPLORATION, INC., WILLIAM N. RAND, GREGORY K. RAND, MARK A. RAND, AND JOEL W. PETERSON

Mar 16
2009

Order No. IC09-SUS-05

IN THE MATTER OF THE INVESTMENT ADVISER REGISTRATION OF GEOFFRY H. OSHMAN, CFP

Mar 16
2009

Order No. IC09-CDO-06

IN THE MATTER OF THE DEALER REGISTRATIONS OF WACHOVIA SECURITIES, LLC AND WACHOVIA CAPITAL MARKETS, LLC

Mar 2
2009

Order No. IC09-SUS-04

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF BARBARA ANNE BOYCE

Mar 2
2009

Order No. ENF-09-CDO-1670

IN THE MATTER OF 808 INVESTMENTS, LLC; 808 ENERGY, LLC; SOUTHERN PACIFIC ENERGY, INC.; PATRICK S. CARTER; ANDREW CORDOVA; AND GLENN KANEKO

Feb 19
2009

Order No. IC09-SUS-03

IN THE MATTER OF THE APPLICATION FOR THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF KEVIN CALANDRO AND THE AGENT REGISTRATION OF KEVIN CALANDRO

Feb 13
2009

Order No. IC09-CAF-02

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

Jan 27
2009

Order No. ENF-09-CDO-1666

IN THE MATTER OF VADC, INC., ALSO KNOWN AS VISION ASSET DEVELOPMENT COMPANY, INC., GOLDEN TRIANGLE ENERGY, CORP., MICHAEL E. DANNELLY, WILLIAM McGARRY AND HARLEY GARVIN

Jan 5
2009

Order No. IC09-CAF-01

IN THE MATTER OF THE DEALER REGISTRATION OF ABSHIER WEBB DONNELLY & BAKER, INC.

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.

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