Sep 21
2010

Order No. ENF-10-CDO-1693

In the Matter of Warr Investment Group LLC and James Elton "Jim" Warr and Mark Cuba: Emergency Cease and Desist Order

Sep 7
2010

Order No. ENF-10-CDO-1692

In the Matter of J.R. Gilvin Investments, LLC A/K/A J.R. Gilvin Operating Company and Jack Gilvin: Emergency Cease and Desist Order

Aug 6
2010

Order No. ENF-10-CDO-1691

In the Matter of Oasis Online Technologies Corp. and Christopher Galvin: Cease and Desist Sale of Unregistered Securities

Jul 27
2010

Order No. IC10-CAF-16

In the Matter of the Dealer Registration of H. Beck Inc.: Reprimand, Fine

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

Pages