Enforcement Actions Administrative

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 15
2009

Order No. IC09-CDO-08

IN THE MATTER OF FRED LUTHER MAY III

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 17
2009

Order No. IC09-SUS-07

IN THE MATTER OF THE AGENT REGISTRATION OF LARRY GORDON GOLDSTON

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 16
2009

Order No. ENF-09-CDO-1668

IN THE MATTER OF WELL BRANDS PRODUCTS, CO.

Mar 2
2009

Order No. IC09-SUS-04

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