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Search Criteria: Begin Date "06-01-2004" End Date "06-30-2004"
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Name of Respondent(s) Date Type of Action File Number
Dennis R. Carlson June 01, 2004 Notice Of Hearing 0300082
Our Stock Profits,
Sastry Tata
June 01, 2004 Order To Dismiss Notice Of Hearing 0100373
Shawn Elliot Russell June 01, 2004 Order Of Prohibition 0300710
Federal Street Investments Inc. June 02, 2004 Order Of Cancellation 0300774
Federal Street Investments Inc. June 02, 2004 Order Of Dismissal 0300774
Jon A. Darmstadter June 02, 2004 Consent Order Of Prohibition 0100052
Pchut.Com,
Rodney A. Russell
June 02, 2004 Order Of Prohibition 0200260
Thomas A. Smith June 02, 2004 Summary Order Of Denial 0400108
Advent Capital Partners Ltd.,
Samuel Daly
June 08, 2004 Amended Order Of Prohibition 0300553
Spectrum Capital Markets Inc.,
Santhosh Thomas
June 08, 2004 Amended Order Of Prohibition 0200959
Hudson And Hudson June 09, 2004 Temporary Order Of Prohibition 0400056
Brian F. Ferraioli June 11, 2004 Order Of Revocation 0400092
Thomas C. Sherwood June 11, 2004 Notice Of Hearing 0300611
Comarco Management June 15, 2004 Order Of Prohibition 0300939
Combined Resource Systems June 15, 2004 Order To Cease And Desist 0300891
Jabez Fisheries June 15, 2004 Order Of Prohibition 0400255
Landmark Financial,
Mutual Insurance
June 15, 2004 Temporary Order Of Prohibition 0400269
Phymed Partners Inc.,
Robert Mildenhall
June 16, 2004 Order Of Prohibition And Fine 0300157
Rapid Technologies Group Inc.,
A/K/A Event Horizon Technologies Software Inc.,
Robert Mildenhall
June 16, 2004 Order Of Prohibition And Fine 0400035
G.A. Financial Group June 21, 2004 Order Of Prohibition 0400018
I.M.G. June 21, 2004 Temporary Order Of Prohibition 0400101
Christopher Jacob Kinsley June 22, 2004 Notice Of Hearing 0100756
Brian A. Kerns June 24, 2004 Corrected Notice Of Hearing 0400272
Takaki Close And Associates Ltd. June 24, 2004 Notice Of Hearing 0400204
Networker2000,
A/K/A/ N2k,
Wealth Builders International,
Terry Harris
June 25, 2004 Notice Of Hearing 0300182
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