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Search Criteria: Begin Date "01-01-2008" End Date "01-31-2008"
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Name of Respondent(s) Date Type of Action File Number
Guy Williams,
Williams Realty And Investments,
Grow Wealth Enterprises
January 02, 2008 Consent Order To Cease And Desist 0600545
Ronald T. Weathers,
X52 Distributing Inc.
January 02, 2008 Order Of Prohibition 0600442
William J. Murphy January 02, 2008 Consent Order 0600604
Brian E. Mclain January 03, 2008 Consent Order Of Revocation 0700396
A.G. Edwards & Sons Inc.,
Suzanne Michelle Wiegand,
Wachovia Securities L.L.C.
January 04, 2008 Second Amended Notice Of Hearing 0600669
Christopher Turner,
Monument Peak Investments L.L.C.
January 04, 2008 Order Of Prohibition 0700205
Earl D. Glick January 07, 2008 Consent Order Of Revocation 0700447
Raymond James Financial Services,
J. Stephen Putnam
January 07, 2008 Notice Of Hearing 0500010
Dennis R. Weddle I I January 08, 2008 Consent Order Of Withdrawal 0600625
Bank Watch,
Brian Jines,
Frank Panice
January 09, 2008 Order Of Prohibition 0700082
Charles L. Doraine January 11, 2008 Consent Order Of Dismissal 0700258
Kirk S. Wright January 11, 2008 Order Of Revocation 0600323
Michael J. Resciniti January 11, 2008 Order Of Revocation 0700262
Richard M. La Croix,
R.L. Richards & Co. L.L.C.
January 15, 2008 Temporary Order Of Prohibition 0500028
Mid-America Energy Inc.,
Gary Milby
January 16, 2008 Order Of Prohibition 0700007
Eric Robert Rydlewski,
A/K/A Arkadiusz Rydlewski,
D/B/A Merit Inter-Group Ltd.
January 18, 2008 Amended Notice Of Hearing 0700406
Robert Dal Santo,
Samuel Dal Santo,
David Dal Santo,
Dal Santo Capital Management L.L.C.
January 18, 2008 Temporary Order Of Prohibition 0700029
Daniel C. Lacey January 23, 2008 Consent Order Of Withdrawal 0600494
Leslie T. Adams,
Global Transitional Services
January 24, 2008 Order Of Prohibition 0600430
Michael Robert Vilim January 24, 2008 Order Of Prohibition 0600098
Ameriprise Financial Services Inc. January 25, 2008 Notice Of Hearing 0700247
Ameriprise Financial Services Inc. January 25, 2008 Consent Order 0700247
Adley Husni Abdulwahab,
A & O Life Fund L.L.C.,
A & O Bonded Life Settlements L.L.C.,
A & O Life Fund Management L.L.C.,
A & O Bonded Life Assets
January 25, 2008 Notice Of Hearing 0700042
Automated Internet Group January 25, 2008 Order To Cease And Desist 0700469
Robert Joseph White January 25, 2008 Temporary Order Of Prohibition 0600471
Ameriprise Financial Services Inc. January 25, 2008 Order Of Dismissal 0700247
Insider Real Estate,
Scanlan Realty & Investments Ltd.,
Christopher Scanlan
January 28, 2008 Amended Notice Of Hearing 0700520
Patrick T. Mcguire Jr. January 28, 2008 Temporary Order Of Prohibition 0700580
Rose Realty Advisors Inc. January 29, 2008 Order Of Prohibition 0700011
Global Touch Systems Inc.,
John J. Kauffman
January 30, 2008 Notice Of Hearing 0800045
Louis E. Stough January 30, 2008 Consent Order Of Dismissal 0700448
Olsen Acquisitions January 30, 2008 Order Of Prohibition 0700552
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