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Search Criteria: Begin Date "12-01-2008" End Date "12-31-2008"
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Name of Respondent(s) Date Type of Action File Number
John S. Cho December 01, 2008 Order Of Revocation 0800230
Kevin C. Carney December 01, 2008 Order Of Prohibition 0800508
Roth Financial Group Inc.,
Anthony Gerard Roth
December 01, 2008 Notice Of Hearing 0700203
Terry L. Edlen December 03, 2008 Order Of Revocation 0800330
Morgan Stanley & Co. Incorporated December 04, 2008 Consent Order 0800572
Morgan Stanley & Co. Incorporated December 04, 2008 Notice Of Hearing 0800572
Aspen Exploration Inc.,
Mark Rand,
Greg Rand,
William Rand
December 08, 2008 Amended Notice Of Hearing 0700019
Bart Andrew Newman December 08, 2008 Notice Of Hearing 0800198
Metlife Securities December 08, 2008 Notice Of Hearing 0500696
Bart Andrew Newman December 10, 2008 Consent Order Of Prohibition 0800198
Alexander Holdings L.L.C.,
Terrence T. Alexander
December 15, 2008 Final Order 0700229
Ralph W. Russell,
R.W.R. Capital Partners L.L.C.,
R.W.R. Capital Management L.L.C.
December 16, 2008 Second Amended Notice Of Hearing 0700041
Riley Mchugh December 17, 2008 Notice Of Hearing 0700358
Matthew G. Sapaula December 18, 2008 Consent Order Of Prohibition 0800274
Resource Bankers,
Kevin Mitchell
December 19, 2008 Temporary Order Of Prohibition 0800163
Malory Investments L.L.C.,
Ronald Stein
December 22, 2008 Consent Order 0700319
Prevention Laboratories L.L.C.,
Jerry A. Douglas
December 29, 2008 First Amended Notice Of Hearing 0700534
Thomas Magee,
A/K/A Tom Magee,
Magee & Associates,
Transnational Consultation Management Inc.
December 29, 2008 Order Of Prohibition 0800491
Bernard L. Madoff December 30, 2008 Summary Order Of Suspension 0800608
John T. Witz December 31, 2008 Order Of Prohibition 0800126
M.G.P. Global Real Estate,
Gregory E. Perkins
December 31, 2008 Temporary Order Of Prohibition 0800097
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