Feb 23
2010

Order No. ENF-10-CDO-1682

In The Matter of Gulfstream Oil and Gas Inc. and Ace Harold Park: Emergency Cease and Desist Order

Feb 23
2010

Order No. IC10-CDO-06

In the Matter of the Dealer Registration of Fox Financial Management Corp., the Agent Registration of James Edward Rooney Jr., and Fox Life Settlements LLC: Reprimand; Cease and Desist from violating the Texas Securities Act; Order of Compliance

Feb 18
2010

Order No. IC10-CAF-05

In the Matter of the Agent Registration of Monte Sue Houston: Reprimand, Fine

Feb 16
2010

Docket No. IC10-02

Pending Hearing on Request to Revoke the Agent Registration of Leon Parvizian

Feb 12
2010

Order No. IC10-REV-04

In the Matter of the Investment Adviser Representative Registration of Kurt Branham Barton: Registration Revoked

Feb 12
2010

Order No. REG10-CAF-01

In the matter of the application for Investment Adviser Registration of Halter Global Opportunity Fund Management LLC: Reprimand; Fine; Registration Granted

Jan 26
2010

Order No. ENF-10-CDO-1681

In the Matter of American Capital Investments Corp.; Dan Gootee AKA Danny L. Gootee; Martin Mair; and Malinda Zarate

Jan 25
2010

Order No. IC-10-CDO-02

In the Matter of the Dealer Registration of Credit Suisse Securities (USA) LLC: Consent Order, Fine

Jan 22
2010

Order No. IC-10-CDO-01

In the Matter of Zachary Ranstead Pittinger and Navigant Advisors LLC: Reprimands, Fines; Investment Adviser Registration Granted

Dec 22
2009

Docket No. IC10-01

Pending hearing on request to revoke the registrations of Triton Financial LLC and Kurt Branham Barton

Dec 3
2009

Order No. ENF-09-CDO/FIN-1680

In the Matter of 808 Investments LLC; 808 Energy 2 LLC; 808 Energy LLC; and Patrick S Carter: Cease and Desist Order, Fine

Nov 17
2009

Order No. IC09-SUS-27

In the Matter of the Dealer Registration of The Street Inc. and the Agent Registration of Robert Wesley Stout: Suspensions

Oct 16
2009

Order No. IC09-REV-24

IN THE MATTER OF INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF JEREMY MCGILVREY AND THE INVESTMENT ADVISER REGISTRATION OF HCW ASSET MANAGEMENT, LLC

Oct 16
2009

Order No. IC09-CDO-25

IN THE MATTER OF THE DEALER REGISTRATION OF RBC CAPITAL MARKETS CORPORTION

Oct 8
2009

Order No. IC09-SUS-23

IN THE MATTER OF THE DEALER REGISTRATION OF CAPROCK SECURITIES, INC. AND THE AGENT REGISTRATION OF DARYL ALLISON

Sep 23
2009

Order No. IC09-SUS-22

IN THE MATTER OF THE APPLICATION FOR THE INVESTMENT ADVISER REPRESENTATIVE AND AGENT REGISTRATIONS OF NOOR SIRAJ AMIRALI

Sep 11
2009

Order No. IC09-CAF-21

IN THE MATTER OF THE SALE AND MARKETING OF AUCTION RATE SECURITIES BY MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Sep 9
2009

Order No. ENF-09-CDO-1676

IN THE MATTER OF ANDREW W. WEST A/K/A ANDY WEST AND ERIC WILLIAM KELLER A/K/A ERIC KELLER, RESPONDENTS

Sep 8
2009

Order No. IC09-CAF-20

IN THE MATTER OF THE DEALER REGISTRATION OF MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

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