Enforcement Actions Administrative

Jan 7
2011

Docket No. IC11-02

In the Matter of Alfaro Oil & Gas LLC; Pinnacle Partners Financial Corp.; and Brian Keith Alfaro: Request for Hearing

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 15
2010

Order No. IC10-CDO-19

In the Matter of Sunny Kohli: Cease and Desist Order