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Investment Advisory Services, Thomas H. Marsden - Notice of Civil Penalty

Monday, November 22, 2004

Categories: Enforcement Actions

Piper Jaffray & Co., Jason Millner - Consent Order

Monday, October 25, 2004

Categories: Enforcement Actions

Delta Trust Investments, Inc., Chad H. Carlson - Consent Order

Friday, September 24, 2004

Categories: Enforcement Actions

L. H. Ross & Co., Inc., Mintz & Fraade, P.C., Michael Assenza, Kelly Chance, Shannon Norris, Dean Baker - Consent Order

Monday, September 20, 2004

Categories: Enforcement Actions

Charles Archambault -

Thursday, September 16, 2004

Categories: Enforcement Actions

Global eScience Corp., Virgil Hentz - Cease and Desist Order

Monday, August 30, 2004

Categories: Enforcement Actions

Ross Owen Haugen - Order for Summary Suspension of the Investment Advisor Registration

Friday, August 13, 2004

Categories: Enforcement Actions

InterSecurities, Inc., Richard Colling - Consent Order

Thursday, August 12, 2004

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc., Lawrence W. Warren - Consent Order

Wednesday, July 28, 2004

Categories: Enforcement Actions

Preferred Trust & Management, Ltd., Larry Borud - Consent Order

Wednesday, July 28, 2004

Categories: Enforcement Actions

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