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Search Criteria: Begin Date "04-01-2003" End Date "04-30-2003"
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Name of Respondent(s) Date Type of Action File Number
George Michael Loughry April 01, 2003 Consent Order Of Withdrawal 0200886
Mark D. Monaco April 01, 2003 Order Of Dismissal 0100161
Deborah Ellen Romary April 02, 2003 Consent Order Of Withdrawal 0200269
Luis J. Delcastillo I I April 02, 2003 Consent Order Of Revocation 0200573
Aryeh T. Goldbloom April 03, 2003 Notice Of Hearing 0300010
Michael E. Egan April 03, 2003 Consent Order Of Dismissal 0200518
James E. Cleary Jr. April 04, 2003 Consent Order Of Revocation 0200669
Lisa Ann Esposito April 07, 2003 Order Of Denial 0201065
Natcity Investments Inc. April 08, 2003 Notice Of Hearing 0100032
Henry L. Auwinger April 09, 2003 Consent Order Of Dismissal 0300023
Patricia Bisch Green April 09, 2003 Notice Of Hearing 0200857
Natcity Investments Inc. April 09, 2003 Order Of Dismissal 0100032
Edward M. Olson April 11, 2003 Order Of Prohibition 0100716
Keith Anderson April 11, 2003 Summary Order Of Denial 0200789
A.T.N.G Inc. April 14, 2003 Temporary Order Of Prohibition 0200961
Spectrum Capital Markets Inc.,
Santhosh Thomas
April 15, 2003 Temporary Order Of Prohibition 0200959
Holoworld Inc. April 21, 2003 Temporary Order Of Prohibition 0100337
U.B.S. Warburg L.L.C.,
U.B.S. Paine Webber Inc.
April 23, 2003 Consent Order 0200674
Geneva Securities Inc.,
Richard M. Eisenmenger,
Leroy K. Messenger
April 24, 2003 Notice Of Hearing 0000233
Robert Loal Boeke Sr. April 24, 2003 Consent Order Of Revocation 0201060
Integrity Financial Group,
Steve Wireman
April 28, 2003 Notice Of Hearing 0200872
Professional Business Solutions Inc.,
D/B/A Interactive Marketing Solutions,
Peter Fischer
April 28, 2003 Temporary Order Of Prohibition 0100483
U.B.S. Warburg L.L.C.,
U.B.S. Paine Webber Inc.
April 28, 2003 Notice Of Hearing 0200674
A & R Holdings & Trust,
Aaron Riley
April 30, 2003 Order Of Prohibition 0200863
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