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Search Criteria: Begin Date "01-01-2006" End Date "01-31-2006"
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Name of Respondent(s) Date Type of Action File Number
A.S.G. Securities Inc. January 05, 2006 Notice Of Hearing 0400700
Tony Gannacone I I I January 05, 2006 Amended Notice Of Hearing 0500409
David L. Jordon January 06, 2006 Consent Order Of Withdrawal 0500225
James R. Pecoraro January 09, 2006 Order Of Denial 0500608
Michael R. Smith January 09, 2006 Order Of Revocation 0500366
Celestial Life Planning Inc. January 11, 2006 Temporary Order Of Prohibition 0300096
Benjamin J. Harelick January 12, 2006 Consent Order Of Withdrawal 0400520
Charles G. Oleson Jr. January 12, 2006 Temporary Order Of Prohibition 0500033
Jayme A. Kurtyka January 12, 2006 Summary Order Of Denial 0500697
Money Asset Management Inc.,
Dante Fala
January 12, 2006 Amended Notice Of Hearing 0500016
Larry M. Brown,
Six Degrees Inc.
January 12, 2006 Temporary Order Of Prohibition 0300932
Jayme A. Kurtyka January 12, 2006 Summary Order Of Denial 0600004
Nicholas Arango January 13, 2006 Consent Order Of Fine 0200626
Bambi I. Holzer January 13, 2006 Notice Of Hearing 0500342
Nariman Jalayer January 19, 2006 Notice Of Hearing 0500540
Norbert William Enslen Jr. January 19, 2006 Notice Of Hearing 0500263
Richard Hennion January 19, 2006 Notice Of Hearing 0500147
Gary N. Ferraro January 20, 2006 Notice Of Hearing 0500520
Donald L. Roseen January 24, 2006 Consent Order Of Suspension 0500142
James M. Begale January 25, 2006 Consent Order Of Withdrawal 0500317
Tom Smith,
Designed4hits
January 25, 2006 Amended Temporary Order Of Prohibition 0300944
Rosewood Energy Inc. January 26, 2006 Consent Order Of Prohibition 0200040
Stralem & Company Inc. January 26, 2006 Notice Of Hearing 0400726
United Ventures-P.T.O. January 26, 2006 Summary Order To Cease And Desist 0200629
Basin Oil And Gas Corporation January 31, 2006 Temporary Order Of Prohibition 0400608
Jygnesh R. Patel January 31, 2006 Notice Of Hearing 0500523
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