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Search Criteria: Begin Date "07-01-2004" End Date "07-31-2004"
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Name of Respondent(s) Date Type of Action File Number
Thomas M. Rohrer July 02, 2004 Order Of Revocation 0300834
Brian F. Gimelson July 06, 2004 Notice Of Hearing 0400287
James E. Wheeler I I July 06, 2004 Order Of Revocation 0300728
Thomas A. Smith July 06, 2004 Order Of Denial 0400108
Cash Now Inc. July 07, 2004 Notice Of Hearing 0100628
Don A. Morris July 07, 2004 Consent Order Of Withdrawal 0400219
Richard P. Hveem July 08, 2004 Order Of Revocation 0400091
Robert E. Schnelle July 08, 2004 Order Of Revocation 0400271
Robert C. Tollefson July 08, 2004 Consent Order Of Censure 0400174
Janas Associates,
R. Carter Freeman
July 12, 2004 Notice Of Hearing 0201002
Christopher J. Borgo July 14, 2004 Order Of Revocation 0400094
Leslie I. Golembo July 14, 2004 Order Of Revocation 0200614
Takaki Close And Associates Ltd. July 14, 2004 Consent Order Of Dismissal 0400204
Theodore S. Alvia July 14, 2004 Order Of Revocation 0300937
Robert E. Faulkner July 15, 2004 Notice Of Hearing 0400086
James E. Upshaw Sr.,
Upshaw And Associates L.L.C.
July 20, 2004 Temporary Order Of Prohibition 0400222
Hudson And Hudson July 21, 2004 Order Of Prohibition 0400056
Billy Joe Johnson July 26, 2004 Consent Order Of Prohibition 0400133
I.M.G. July 28, 2004 Order Of Prohibition 0400101
Bruce Kevin Deakin July 29, 2004 Summary Order Of Denial 0400209
D S Realty & Capital Markets Incorporated July 29, 2004 Summary Order Of Denial 0400359
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