Enforcement Actions Administrative

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. ENF-10-1688

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

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 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

Apr 1
2010

Order No. IC10-SUS-10

In the Matter of the Agent and Investment Adviser Representative Registrations of Russell Kent Childs, the Dealer Registration of Cambridge Legacy Securities L.L.C., and Cambridge Legacy Advisors, Inc.

Mar 29
2010

Order No. ENF-10-CDO-1686

In the Matter of Retirement Value LLC, Bruce Collins and Richard "Dick"Gray: Emergency Cease and Desist Order

Mar 16
2010

Order No. ENF-10-1685

In the Matter of Southern Pacific Energy, Inc.; Andrew Cordova; and Glenn Kaneko

Mar 16
2010

Order No. IC10-REV-09

In the Matter of the Investment Adviser Registration of Triton Financial, LLC; Triton Acquisition, LP D/B/A Triton Insurance, LP; Capvest, LLC; and Triton Opportunity Fund, LLC