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Search Criteria: Begin Date "04-01-2004" End Date "04-30-2004"
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Name of Respondent(s) Date Type of Action File Number
Bradley E. Kirk April 05, 2004 Order Of Revocation 0300941
James W. Jonen April 05, 2004 Order Of Revocation 0300861
Robert C. Tollefson April 05, 2004 Notice Of Hearing 0400174
Timothy D. Skelly April 05, 2004 Notice Of Hearing 0400158
E. K. Riley Investments L.L.C. April 07, 2004 Notice Of Hearing 0400096
Kurt A. Johnson April 07, 2004 Summary Order Of Denial 0300922
Salvatore Clark April 07, 2004 Notice Of Hearing 0400093
William Bruce Jr. April 07, 2004 Temporary Order Of Prohibition 0200292
J. P. Morgan Securities Inc. April 08, 2004 Consent Order 0300912
J. P. Morgan Securities Inc. April 08, 2004 Notice Of Hearing 0300912
J. P. Morgan Securities Inc. April 08, 2004 Order Of Dismissal 0300912
S. B. Cantor & Co. Inc. April 12, 2004 Order Of Cancellation 0300812
S. B. Cantor & Co. Inc. April 12, 2004 Order Vacating Order Of Cancellation 0300812
Barry F. Cassese April 12, 2004 Order Of Revocation 0300836
Equity Financial Management Services Inc. April 12, 2004 Order Of Cancellation 0400077
H & R Block Financial Advisors Inc. April 12, 2004 Notice Of Hearing 0000397
Richard M. Melendez April 14, 2004 Summary Order Of Denial 0400208
E Street Access April 14, 2004 Order Of Cancellation 0300751
Richard M. Melendez April 14, 2004 Summary Order Of Denial 0400198
Ronald Provart April 16, 2004 Consent Order 0200391
Timothy D. Skelly April 16, 2004 Order Of Dismissal 0400158
Lewis Dean Mcbride April 19, 2004 Order To Dismiss Notice Of Hearing 0300153
Combined Resource Systems April 20, 2004 Summary Order To Cease And Desist 0300891
Davis Financial Group April 20, 2004 Order Of Prohibition 0400027
Dunmac Financial Associates,
A/K/A A.D.R. Marketing
April 20, 2004 Order Of Prohibition 0400007
Zoom Technologies April 21, 2004 Order To Cease And Desist 0100701
E. K. Riley Investments L.L.C. April 22, 2004 Consent Order Of Censure 0400096
Euro Resource Group April 22, 2004 Corrected Order Of Prohibition 0200131
Starmax Entertainment April 22, 2004 Corrected Order Of Prohibition 0400061
Rochelle,
A/K/A Shellie G. Cohen
April 28, 2004 Consent Order Of Withdrawal 0400017
Bruce E. Carlson April 29, 2004 Notice Of Hearing 0400068
Keith J. Andrews April 29, 2004 Order Of Revocation 0300942
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