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

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.

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