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. 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 16
2010

Order No. ENF-10-1685

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

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. 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-CDO-25

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

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