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Search Criteria: Begin Date "12-01-2006" End Date "12-31-2006"
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Name of Respondent(s) Date Type of Action File Number
A.G. Edwards & Sons Inc. December 01, 2006 Notice Of Hearing 0300908
Kevin D. Wells December 04, 2006 Notice Of Hearing 0600465
Stonington Corporation December 04, 2006 Order Of Revocation 0600211
Cambridge Energy Waste Management Ltd,
Howard J. Goldberg
December 05, 2006 Temporary Order Of Prohibition 0600374
Leslie T. Adams,
Global Transitional Services
December 05, 2006 Temporary Order Of Prohibition 0600430
Richard A. Wells,
Wells Financial Services
December 06, 2006 Temporary Order Of Prohibition 0600588
William James Hogan December 06, 2006 Order Of Prohibition And Fine 0400748
Provision Operation Systems Inc.,
Robert Fletcher
December 07, 2006 Temporary Order Of Prohibition 0400667
Sunrise Energy Inc.,
D/B/A Blue Marlin Energy,
Shea Silva,
Energy 2000 Inc.,
Jimmey E. Morrisett
December 07, 2006 Temporary Order Of Prohibition 0400361
Frank T. Devine December 12, 2006 Order Of Prohibition 0400711
International Candle Corporation December 12, 2006 Order To Cease And Desist 0500077
Banc Of America Investment Services Inc.,
Quick & Reilly Inc.
December 15, 2006 Notice Of Hearing 0300622
Arun K. Salwan December 18, 2006 Notice Of Hearing 0600624
Banc Of America Investment Services Inc.,
Quick & Reilly Inc.
December 18, 2006 Consent Order 0300622
Gary L. Pittsford December 19, 2006 Summary Order Of Denial 0600423
Global Power Global Wealth Enterprises L.L.C.,
Global Wealth Investments L.L.C.,
Andre E. Mitchell
December 19, 2006 Order Of Prohibition 0500537
Global Wealth Builders L.L.C.,
Global Wealth Investments L.L.C.,
Global Asset Management & Multiplier Account Fund (Gamma),
Asset Management Income & Growth Account Fund (Amiga),
Andre E. Mitchell
December 19, 2006 Order Of Prohibition 0600449
Trent A. Johnson December 19, 2006 Notice Of Hearing 0600172
Kevin D. Wells December 21, 2006 Consent Order Of Withdrawal Of Application 0600465
Quantum Biomod Corporation,
David A. Goodman
December 21, 2006 Notice Of Hearing 0400601
Deutsche Asset Management Inc.,
Deutsche Investment Management Americas Inc.
December 28, 2006 Consent Order 0400062
Deutsche Asset Management Inc.,
Deutsche Investment Management Americas Inc.
December 28, 2006 Notice Of Hearing 0400062
Deutsche Asset Management Inc.,
Deutsche Investment Management Americas Inc.
December 28, 2006 Order Of Dismissal 0400062
Felix Daniel,
R.Y.M. Technology Holdings L.L.C.,
D/B/A R.Y.M. Technology L.L.C.
December 29, 2006 Temporary Order Of Prohibition 0600670
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom. Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.

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