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Search Criteria: Begin Date "08-01-2008" End Date "08-31-2008"
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Name of Respondent(s) Date Type of Action File Number
John H. Lohmeier August 01, 2008 Consent Order 0700416
U.B.S. Financial Services Inc. August 01, 2008 Order Of Dismissal 0500612
Malory Investments L.L.C.,
Ronald Stein,
Stephen Strauss,
Kenneth Eugene Zellmer Jr.,
Sean Zarinegar,
Capital Guardian Inc.,
Blake William Wilson,
Christine Fenn
August 04, 2008 Order 0700319
William D. Mattes Sr. August 04, 2008 Notice Of Hearing 0800115
Brian L. Hopkinson August 05, 2008 Consent Order Of Prohibition 0700301
John J. Parker August 05, 2008 Notice Of Hearing 0800292
Richard J. Massaux August 05, 2008 Notice Of Hearing 0800291
Terrence L. Donati,
A/K/A Terry L. Donati,
Amy Donati,
Brighton Hill Enterprise Inc.,
D/B/A Northwest Business Brokers
August 06, 2008 Summary Order Of Revocation 0800276
Westor Capital Group Inc. August 06, 2008 Notice Of Hearing 0800298
Matthew G. Sapaula August 08, 2008 Notice Of Hearing 0800274
K.W. Brown Investments August 11, 2008 Order Of Cancellation 0800329
Timothy Shawn Dunn,
Moneyfacts Inc.
August 13, 2008 Notice Of Hearing 0700512
Alexi M. Bethel August 18, 2008 Consent Order Of Withdrawal 0800280
David B. Elliott August 18, 2008 Consent Order Of Dismissal 0600655
John D. Shepherd August 18, 2008 Consent Order Of Dismissal 0600658
American Fund Inc.,
Fabian C. Harris
August 19, 2008 Corrected Temporary Order Of Prohibition 0800354
Advanced Ultrasound Imaging Inc.,
Brian Hunt,
Steve K. Jablon
August 19, 2008 Notice Of Hearing 0700349
Charles Nyang'Iti August 19, 2008 Temporary Order Of Prohibition 0700184
E.P.S. Inc.,
A/K/A Electronic Post Systems Inc.,
William Abt
August 19, 2008 Notice Of Hearing 0700349
Prevention Laboratories L.L.C.,
Jerry A. Douglas
August 19, 2008 Notice Of Hearing 0700534
Real Life Save-R.,
Robert R. Mclaren
August 19, 2008 Notice Of Hearing 0700349
Imelda Lomibao August 20, 2008 Consent Order Of Revocation 0800116
Hugh F. Denison August 22, 2008 Notice Of Hearing 0800263
Juan Cahue August 22, 2008 Amended Temporary Order Of Prohibition 0600524
Kevin D. Clark August 22, 2008 Notice Of Hearing 0800262
Paul T. Beste August 22, 2008 Notice Of Hearing 0800265
Phillip S. Eggers August 22, 2008 Notice Of Hearing 0800340
Ricky Boros,
A/K/A Vincent Kwiatkowski,
Compania De Minera De Los Tres Amigos,
North American Mining Ventures Inc.
August 22, 2008 Temporary Order Of Prohibition 0600665
William John Nasgovitz August 25, 2008 Consent Order Of Dismissal 0800264
Ultimate Fantasy Football League,
Doug Diershow
August 26, 2008 Order Of Prohibition 0700517
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