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Search Criteria: Begin Date "12-01-2003" End Date "12-31-2003"
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Name of Respondent(s) Date Type of Action File Number
James A. Bayer December 01, 2003 Notice Of Hearing 0100677
Goldman Sachs & Co. December 04, 2003 Consent Order 0300910
Goldman Sachs & Co. December 04, 2003 Notice Of Hearing 0300910
Goldman Sachs & Co. December 04, 2003 Order Of Dismissal 0300910
Lehman Brothers Inc. December 04, 2003 Consent Order 0300909
Lehman Brothers Inc. December 04, 2003 Notice Of Hearing 0300909
Lehman Brothers Inc. December 04, 2003 Order Of Dismissal 0300909
High Tech Financial Products,
A/K/A E.B.D. Consulting Inc.
December 08, 2003 Notice Of Hearing 0201013
Clearing Services Of America Inc. December 11, 2003 Order Of Cancellation 0300842
Scott C. Winters December 12, 2003 Consent Order Of Censure And Fine 0300688
Orbitex Funds Distributor Inc. December 12, 2003 Amended Notice Of Hearing 0300760
Thomas H. Thorp December 18, 2003 Notice Of Hearing 0100612
R.A.M. Energy Inc. December 22, 2003 Notice Of Hearing 0200991
Vikram V. Naik December 23, 2003 Consent Order Of Revocation 0300578
Trade Partners Inc.,
A/K/A T.P.I.,
Lewis Dean Mcbride
December 23, 2003 Notice Of Hearing 0300153
William E. Hopkins & Associates Inc. December 30, 2003 Order Of Cancellation 0300769
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