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Search Criteria: Begin Date "01-01-2003" End Date "01-31-2003"
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Name of Respondent(s) Date Type of Action File Number
Rushmore Securities Corporation January 02, 2003 Order To Vacate 0200731
L.A. Power & Light L.L.P. January 06, 2003 Order Of Prohibition 0000026
Robert Loal Boeke Sr. January 06, 2003 Notice Of Hearing 0201060
Shashin Patel January 06, 2003 Order Of Prohibition 0000312
Barbara L. Seivert,
F/K/A Barbara L. Schuldt
January 09, 2003 Consent Order Of Revocation 0200613
Robert S. Goldfine January 09, 2003 Notice Of Hearing 0200914
Peter F. Peck Jr. January 10, 2003 Consent Order Of Revocation 0201026
Wayne P. Messner January 13, 2003 Notice Of Hearing 0201061
Francorp Capital Inc. January 14, 2003 Amended Notice Of Hearing 0200491
Hillcrest Financial,
Michael Stephenson
January 14, 2003 Order Of Prohibition 0201009
Take-A-Break Systems Inc. January 14, 2003 Order Of Censure And Fine 0100080
Harvey L. Bunker Jr. January 15, 2003 Notice Of Hearing 0201059
Reliance Financial Group Inc.,
Donald Goldstein
January 15, 2003 Order Of Prohibition 0200238
William K. Wilson January 16, 2003 Order Of Revocation 0200063
Premier Capital Management L.L.C.,
Mathieu R. Reyna
January 21, 2003 Second Amended Notice Of Hearing 0200679
J. E. Liss & Company Inc.,
D/B/A Liss Financial Services Inc.,
Jerome E. Liss
January 22, 2003 Consent Order Of Censure 0100445
Legacy Financial Institute January 22, 2003 Order 9900449
Rick Lynn Burnett January 22, 2003 Order 0200195
Sharon M. Whitehurst,
F/K/A Sharon M. Graham
January 22, 2003 Consent Order Of Withdrawal 0200246
Leslie L. Golembo January 30, 2003 Notice Of Hearing 0200614
Expertfunding.Com Corporation January 30, 2003 Notice Of Hearing 0000305
Patrick J. Flynn January 31, 2003 Consent Order Of Prohibition 9900365
The Stability Fund January 31, 2003 Order Of Prohibition 0200985
Walter Knttter,
Millennicom Inc.
January 31, 2003 Notice Of Hearing 0000100
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