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Search Criteria: Begin Date "01-01-2005" End Date "01-31-2005"
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Name of Respondent(s) Date Type of Action File Number
Barbara R. Kaplan,
A/K/A Barbara R. Israel
January 07, 2005 Consent Order Of Suspension 0400580
Frost Brokerage Services Inc. January 07, 2005 Notice Of Hearing 0400530
Bankers & Investors Company January 10, 2005 Notice Of Hearing 0400380
Christopher M. Murray January 10, 2005 Notice Of Hearing 0400720
Richard A. Saitta January 10, 2005 Notice Of Hearing 0400673
Robert William Esch,
D/B/A Whitemountain Financial
January 13, 2005 Consent Order 0300042
Delta Asset Management Company L.L.C. January 21, 2005 Order Of Cancellation 0400644
Pryor Counts & Co. Inc. January 21, 2005 Order Of Cancellation 0400736
Richmark Capital Corporation January 21, 2005 Order Of Cancellation 0400585
Robert M. Racusen January 21, 2005 Notice Of Hearing 0400778
Richmark Capital Corporation January 21, 2005 Order Of Cancellation 0400638
Millennium Associates,
Wall Street Direct Inc.,
Mark S. Perlmutter,
George F. Holmes,
Peter Hare
January 24, 2005 Amended Notice Of Hearing 0300745
William H. Johnson,
Peter S. Miranda
January 26, 2005 Temporary Order Of Prohibition 0200440
Danny R. Talbott January 27, 2005 Notice Of Hearing 0400779
Geek Securities Inc. January 27, 2005 Order Of Cancellation 0400471
Geek Securities Inc. January 27, 2005 Order Of Cancellation 0400555
David J. Memmott January 31, 2005 Notice Of Hearing 0400490
Frost Brokerage Services Inc. January 31, 2005 Consent Order Of Dismissal 0400530
Global Express Securities Inc. January 31, 2005 Order Of Cancellation 0400578
James E. Hardy January 31, 2005 Notice Of Hearing 0400394
Juan C. Alejos January 31, 2005 Notice Of Hearing 0400391
Robert A. Cassino January 31, 2005 Notice Of Hearing 0400396
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