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Search Criteria: Begin Date "12-01-2004" End Date "12-31-2004"
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Name of Respondent(s) Date Type of Action File Number
James S. Huh December 01, 2004 Notice Of Hearing 0400482
Janney Montgomery Scott L.L.C. December 01, 2004 Corrected Notice Of Hearing 0400652
James E. Easton December 02, 2004 Notice Of Hearing 0400442
Tom Vabakos December 03, 2004 Notice Of Hearing 0400321
Tom Vabakos December 03, 2004 Summary Order Of Denial 0400321
William T. Mukai December 06, 2004 Notice Of Hearing 0400654
Cash Now,
A/K/A Cash Now Inc.,
A/K/A W.W.W.Cashnow.C.A.,
A/K/A W.W.W.Cashnowplus.Com
December 07, 2004 Amended Notice Of Hearing 0100628
Bankers & Investors Company December 08, 2004 Summary Order Of Denial 0400380
Tom Vabakos December 10, 2004 Consent Order 0400321
S.C.O Securities L.L.C. December 13, 2004 Consent Order Of Revocation 0400242
Boggie Hanczarukharlow December 16, 2004 Temporary Order Of Prohibition 0300863
Estate Management Services Inc.,
A/K/A E.M.S.,
Daniel George Petrilli
December 17, 2004 Temporary Order Of Prohibition 0400756
Octagon Financial Services Inc. December 21, 2004 Consent Order Of Dismissal 0400317
Premium One Solutions December 21, 2004 Order Of Prohibition 0400671
Siemens Financial,
A/K/A Siemens Financial Services
December 21, 2004 Order Of Prohibition 0400614
Westminister Financial Services Inc.,
A/K/A Westminister Finance Inc.
December 21, 2004 Order Of Prohibition 0400617
Christian Dream Builders Financial Planning Inc.,
Kenneth D. Bivens
December 28, 2004 Order Of Prohibition 0400252
Joseph A. Cantafio December 30, 2004 Temporary Order Of Prohibition 0200657
Primex,
Prime Securities Exchange Inc.,
Cary Edwin Grant
December 30, 2004 Temporary Order Of Prohibition 0200798
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