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Search Criteria: Begin Date "04-01-2005" End Date "04-30-2005"
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Name of Respondent(s) Date Type of Action File Number
James E. Bey April 06, 2005 Notice Of Hearing 0500050
William T. Mukai April 06, 2005 Consent Order Of Withdrawal 0400654
William E. Casey April 07, 2005 Notice Of Hearing 0400692
Jerry Rappaport,
Anthony J. Santilli
April 08, 2005 Temporary Order Of Prohibition 0500015
Ibrahim E. Kurtulus April 08, 2005 Notice Of Hearing 0500032
Christopher M. Murray April 13, 2005 Consent Order Of Withdrawal 0400720
James E. Zogby April 13, 2005 Consent Order Of Censure 0400324
Advisors Management Group Inc. April 14, 2005 Notice Of Hearing 0500105
Susan Lange,
Tram Corporation
April 14, 2005 Notice Of Hearing 0201049
Douglas A. Brian April 15, 2005 Order Of Prohibition 0200064
William H. Johnson,
Peter S. Miranda
April 15, 2005 Order Of Prohibition 0200440
Susan Lange,
Tram Corporation
April 18, 2005 Consent Order 0201049
Golden Years Planning,
Bonnie Rohr
April 22, 2005 Order Of Prohibition And Fine 0100767
Joseph A. Cantafio April 22, 2005 Order Of Prohibition 0200657
Scott D. Sutherland April 25, 2005 Corrected Order Of Denial 0400468
Patrick O. Pascarella April 26, 2005 Consent Order Of Withdrawal 0400690
Brian K. Martinsen April 28, 2005 Consent Order Of Withdrawal 0500051
James E. Hardy April 28, 2005 Consent Order Of Withdrawal 0400394
Mark D. De Souza April 28, 2005 Order Of Denial 0400663
Rizwan Fazeel April 28, 2005 Summary Order Of Denial 0500216
Charles Richard Antrim April 29, 2005 Consent Order 0200044
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