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James R. Bullis, Montgomery, Goff & Bullis, P.C. - Cease and Desist Order

Tuesday, March 21, 2006

Categories: Enforcement Actions

Harmony Consultants, Inc., Conejo Valley Consultants, Inc., Mel Rosoff a/k/a Mel Fields - Cease and Desist Order

Wednesday, March 8, 2006

Categories: Enforcement Actions

N.D. SECURITIES DEPARTMENT RELEASES UNLUCKY 13 List of Investor Traps for 2006

Thursday, February 23, 2006

Kea-Watt and Associates, Ltd., Joseph Henry Kalina, Larry Gene Kalina, Terry Wanless - Cease and Desist Order

Monday, February 6, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC - Order to Revoke the Securities Registrations

Thursday, February 2, 2006

Categories: Enforcement Actions

Dakota Payphone, LLC -

Friday, January 13, 2006

Categories: Enforcement Actions

Thomas Weisel Partners, LLC - Administrative Consent Order

Friday, January 13, 2006

Categories: Enforcement Actions

REGULATORS URGE INVESTORS TO CAREFULLY CHECK CREDENTIALS OF 'SENIOR SPECIALISTS'

Wednesday, December 14, 2005

Kevin David Wells - Order to Revoke the Agent Registration

Friday, December 9, 2005

Categories: Enforcement Actions

Dominion Investments, Inc., Tony Adams - Cease and Desist Order

Thursday, December 8, 2005

Categories: Enforcement Actions

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