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Josephthal & Co., Inc., James Gus Oliver -

Thursday, October 19, 2000

Categories: Enforcement Actions

Albemarle Investments, Limited, New Life Technologies, Inc., UPA, Inc., Mike Bierman, Todd Rooker, Patrick Alan Sanders, Stanley Schulman - Cease and Desist Order

Friday, October 6, 2000

Categories: Enforcement Actions

Dirk P. Hausauer - Civil Penalty

Thursday, August 24, 2000

Categories: Enforcement Actions

Craig Brown - Consent Order

Monday, July 31, 2000

Categories: Enforcement Actions

Joe Aguda, Aguda Financial Services, Inc. - Consent Order

Monday, July 31, 2000

Categories: Enforcement Actions

Ragen MacKenzie Investment Services, Inc., Richard Lawrence, Philip Wimer - Consent Order

Friday, July 21, 2000

Categories: Enforcement Actions

Private Gifting, Sharing Equally, For Kids, Inc., Randy Bertsch, Betty Holzer, Daniel Reimche, Betty Wahl, Carl Lamm, Raymond Kotchian, Robin Stene, Kristy Keller, Gered Keller - Cease and Desist Order

Tuesday, July 11, 2000

Categories: Enforcement Actions

Phoenix Telecom, L.L.C., Trinity Financial Group -

Tuesday, July 11, 2000

Categories: Enforcement Actions

Gerard Cerullo - Consent Order

Monday, July 10, 2000

Categories: Enforcement Actions

Baxter, Banks & Smith, Ltd., Francis M. McDermott - Consent Order

Friday, June 16, 2000

Categories: Enforcement Actions

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