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Search Criteria: Begin Date "01-01-2004" End Date "01-31-2004"
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Name of Respondent(s) Date Type of Action File Number
Integrity Financial Group January 05, 2004 Order Of Prohibition 0200872
Introducing Brokers Alliance Inc. January 05, 2004 Consent Order Of Dismissal 0300772
C.M.G. Institutional Trading L.L.C. January 07, 2004 Consent Order Of Dismissal 0300770
Morgan Stanley & Co. Incorporated January 07, 2004 Consent Order 0400011
Morgan Stanley & Co. Incorporated January 07, 2004 Notice Of Hearing 0400011
Credit Suisse First Boston L.L.C.,
F/K/A Credit Suisse First Boston Corporation
January 12, 2004 Consent Order 0400028
Credit Suisse First Boston L.L.C.,
F/K/A Credit Suisse First Boston Corporation
January 12, 2004 Notice Of Hearing 0400028
Credit Suisse First Boston L.L.C.,
F/K/A Credit Suisse First Boston Corporation
January 12, 2004 Order Of Dismissal 0400028
M.F.S. Group January 12, 2004 Temporary Order Of Prohibition 0300888
Public Cornmunication Services Inc.,
A/K/A Sprawlnet.Com Inc.
January 12, 2004 Order Of Prohibition And Fine 0200860
James W. Jonen January 14, 2004 Amended Notice Of Hearing 0300861
Clearing Services Of America Inc. January 14, 2004 Order Of Cancellation 0300787
American Cash Flow Corporation January 15, 2004 Order To Vacate 0300685
Bradley E. Kirk January 16, 2004 Notice Of Hearing 0300941
Martin Dennis Ross January 21, 2004 Consent Order Of Withdrawal 0300554
Thomas M. Rohrer January 21, 2004 Notice Of Hearing 0300834
Charles Richard Antrim January 23, 2004 Notice Of Hearing 0200044
Financial Links Inc. January 23, 2004 Order Of Cancellation 0300918
Indianapolis Securities Inc. January 23, 2004 Order Of Cancellation 0300709
James E. Wheeler I I January 23, 2004 Notice Of Hearing 0300728
Phymed Partners Inc.,
Robert Mildenhall
January 27, 2004 Notice Of Hearing 0300157
Rapid Technologies Group Inc.,
A/K/A Event Horizon Technologies Software Inc.,
Robert Mildenhall
January 27, 2004 Notice Of Hearing 0400035
William E. Hopkins & Associates Inc. January 27, 2004 Order Vacating Order Of Cancellation 0300769
William Nuxholl Oil,
William Nuxholl
January 28, 2004 Notice Of Hearing 0200608
Theodore S. Alvia January 29, 2004 Notice Of Hearing 0300937
William E. Hopkins & Associates Inc. January 29, 2004 Notice Of Hearing 0300769
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