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Search Criteria: Begin Date "07-01-2006" End Date "07-31-2006"
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Name of Respondent(s) Date Type of Action File Number
H & R Block Financial Advisors Inc. July 03, 2006 Order Of Dismissal 0000397
Seed International Ltd.,
D/B/A Churchill Assocaites,
Ocean International Marketing Ltd.,
Isack Nadya
July 05, 2006 Order Of Prohibition 0400250
Thomas E. Grimm July 05, 2006 Consent Order Of Withdrawal 0600005
Robert L. Savage July 06, 2006 Notice Of Hearing 0500466
Western Growers Financial Services Inc. July 07, 2006 Summary Order Of Denial 0600289
Roderick James Rieman,
Innovative Financial Services Inc.,
Michael J. Crook,
Z Touch Systems Inc.
July 11, 2006 Notice Of Hearing 0500002
Ronald Heineman July 11, 2006 Consent Order Of Dismissal 0400470
Roderick James Rieman,
Innovative Financial Services Inc.,
Michael J. Crook,
Z Touch Systems Inc.
July 11, 2006 Notice Of Hearing 0600051
James R. Brown July 13, 2006 Order Of Denial 0500661
Judah Indig July 13, 2006 Notice Of Hearing 0500635
Ralph A. Porpora July 13, 2006 Notice Of Hearing 0500444
Edelman Financial Services L.L.C. July 17, 2006 Consent Order Of Fine 0500434
Marcello Rojas,
Roberto Vallejo
July 18, 2006 Order Of Prohibition 0300633
Amvest Securities Incorporated July 19, 2006 Consent Order Of Fine 0500646
Freetel Inc. July 19, 2006 Summary Order To Cease And Desist 0300134
Deutsche Bank Securities Inc. July 20, 2006 Consent Order 0600247
Deutsche Bank Securities Inc. July 20, 2006 Notice Of Hearing 0600247
Deutsche Bank Securities Inc. July 20, 2006 Order Of Dismissal 0600247
Paez Real Estate Funding,
Juan Paez
July 24, 2006 Notice Of Hearing 0400252
Western Growers Financial Services Inc. July 25, 2006 Notice Of Hearing 0600289
Eagle Vending Systems Corp. July 26, 2006 Summary Order To Cease And Desist 0300163
Cash Now,
A/K/A Cash Now Inc.,
A/K/A W.W.W.Cashnow.C.A.,
A/K/A W.W.W.Cashnowplus.Com
July 27, 2006 Order Of Prohibition 0100628
Roger L. Overby July 27, 2006 Consent Order Of Withdrawal 0600099
Richard D. Carter July 28, 2006 Order Of Revocation 0600133
Stonington Corporation July 28, 2006 Notice Of Hearing 0600211
Charles H. Landwer Jr.,
Accurate Financial Group Ltd.
July 31, 2006 Notice Of Hearing 0600060
Windham Securities Inc. July 31, 2006 Notice Of Hearing 0600207
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