Jul 27
2010

Order No. IC10-CDO-17

In the Matter of the Dealer Registration of Goldman, Sachs & Co.: Fine, Repurchase of Auction Rate Securities

Jul 12
2010

Order No. IC10-SUS

In the Matter of the Investment Adviser Registration of Sarker Investments LLC and Abraham Mohammed Sarker: Suspension, Cease and Desist, Fine

Jun 22
2010

Order No. REG10-CAF-03

In the Matter of the Applications For Agent and Investment Adviser Representative Registration of Russell Coolidge Newton Jr.: Reprimand; Fine; Registration Granted

Jun 15
2010

Order No. IC10-CAF-14

In the Matter of the Dealer Registration of Lincoln Financial Securities Corp.: Reprimand, Fine

Jun 15
2010

Order No. ENF-10-CDO-1690

In the Matter of Aquatic International Networking, LLC D/B/A The Finance Shop, and Michael Lynn McQuade: Agreed Cease and Desist Order

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

Mar 10
2010

Order No. IC10-CDO-08

In the Matter of the Dealer Registration of Morgan Stanley & Co. Inc.: Fine; Repurchase of Auction Rate Securities

Mar 4
2010

Order No. IC-10-CDO-07

In the Matter of the Dealer Registrations of UBS Securities LLC and UBS Financial Services Inc.: Fine; Repurchase Agreement

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 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 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. REG10-CAF-01

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

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