Sep 14
2011

SOAH Docket No. 312-12-0362

In the Matter of the Application for Agent Registration of Gregory Frank Estes: Notice of Hearing

Aug 16
2011

Order No. ENF-11-CDO-1706

In the Matter of Prevail Energy Inc. and Elliott Leavell: Agreed Cease and Desist Order

Aug 1
2011

SOAH Docket No. 312-11-8406

In the Matter of the Investment Adviser Registration of Select Asset Management LLC, and the Investment Adviser Representative Registration of Brian Anthony Bjork.

Jul 12
2011

Order No. REG11-SUS-01

In the Matter of the Application for Agent Registration of Brian Grayson Kidder: Reprimand, Suspension

Jul 5
2011

Order No. ENF-11-1704

In the Matter of Club Tuki, LLC, Children's Educational Network, Inc., Gregory D. Writer, Jr., and Edward L. Bracken

Jun 29
2011

Order No. IC11-FIN-08

In the matter of the Dealer Registrations of Raymond James & Associates Inc. and Raymond James Financial Services Inc.: Consent Order

Jun 22
2011

Docket No. IC11-05

In the Matter of the Agent and Investment Adviser Registrations of Jimmy Wayne Freeman Jr.: Notice of Hearing

Jun 22
2011

Docket No. IC11-04

In the Matter of the Agent and Investment Adviser Registrations of Kris Bradford Rhoden: Notice of Hearing

May 24
2011

Order No. IC11-REV-07

In the Matter of the Investment Adviser Registration of Hunt Advisors LLC and the Investment Adviser Representative Registration of John Ward Hunt

May 13
2011

Order No. ENF-11-CDO-1702

In the Matter of Insignia Energy Group Inc., IEG Permain Basin LLC, Martin D. Lewis and J.W. Willis aka Jarvis Wayne Willis: Emergency Cease and Desist Order

Mar 25
2011

Order No. IC11-CDO-05

In the Matter of Alfaro Oil & Gas LLC; Pinnacle Partners Financial Corp.; and Brian Keith Alfaro: Consent Cease and Desist Order

Mar 25
2011

Order No. IC11-REV-06

In the Matter of the Investment Adviser Registration of STS-Advisors Ltd. and the Investment Adviser Representative Registration of Richard Lewis Bruce: Default Order; Registrations Revoked

Mar 22
2011

Order No. IC12-CAF-11

In the Matter of the Dealer Registration of E*TRADE Securities LLC: Fine, Corrective Actions

Feb 24
2011

Order No. ENF-CDO-1699

In the Matter of The Stamford Group Inc.; Stamford Portfolio Management LLC; Stamford Group 2004C LLC; Deborah A. Wilcox; Keith Holcomb; and David R. Jung: Modified Emergency Cease and Desist Order

Feb 15
2011

Order No. IC11-CDO-04

In the Matter of the Agent Registration of Joseph Andrew Sugg II: Cease and Desist Order

Feb 2
2011

Order No. ENF-11-CDO-1698

In the Matter of Senior Moments, Robert "Bob" Martins and Virginia Marie Martins: Emergency Cease & Desist Order

Jan 26
2011

Docket No. IC11-03

In the Matter of the Investment Adviser Registration of Hunt Advisors LLC and the Investment Adviser Representative Registration of John Ward Hunt: Notice of Hearing to Determine Revocation of Registrations

Jan 20
2011

Order No. ENF-11-CDO-1697

In the Matter of AGAP Life Offerings LLC, Charles D. Madden and Matthew Searle: Order Modifying Emergency Cease and Desist Order

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