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Search Criteria: Begin Date "03-01-2004" End Date "03-31-2004"
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Name of Respondent(s) Date Type of Action File Number
William E. Hopkins & Associates Inc. March 02, 2004 Consent Order Of Dismissal 0300769
Thomas H. Thorp March 04, 2004 Order Of Revocation 0100612
S. B. Cantor & Co. Inc. March 08, 2004 Order Of Cancellation 0300812
David S. Cacchione March 08, 2004 Notice Of Hearing 0400043
Prudential Financial Services,
Transunion Credit Corporation
March 08, 2004 Temporary Order Of Prohibition 0400010
Thomas F. Lagana March 09, 2004 Notice Of Hearing 0300926
Citigroup Global Markets Inc.,
F/Ka Salomon Smitii Barney Inc.
March 10, 2004 Consent Order 0400009
Citigroup Global Markets Inc.,
F/K/A Salomon Smith Barney Inc.
March 10, 2004 Notice Of Hearing 0400009
Citigroup Global Markets Inc.,
F/K/A Salomon Smith Barney Inc.
March 10, 2004 Order Of Dismissal 0400009
Dean D. Giasi March 10, 2004 Amended Notice Of Hearing 0400015
John J. Derrico March 11, 2004 Order Of Revocation 0300655
Millennium Associates,
Wall Street Direct Inc.,
Mark S. Perlmutter,
George Holmes,
Peter Hare
March 11, 2004 Notice Of Hearing 0300745
Comarco Management March 15, 2004 Temporary Order Of Prohibition 0300939
High Tech Financial Products,
A/K/A E.B.D. Consulting Inc.
March 15, 2004 Order Of Prohibition And Fine 0201013
James A. Bayer March 15, 2004 Order Of Prohibtion And Fine 0100677
M.F.S. Group March 15, 2004 Order Of Prohibition 0300888
R.A.M. Energy Inc. March 15, 2004 Order Of Prohibition 0200991
Shawn Elliot Russell March 15, 2004 Notice Of Hearing 0300710
Trade Partners Inc.,
A/K/A T.P.I.
March 16, 2004 Consent Order Of Prohibition 0300153
Bruce E. Carlson March 18, 2004 Summary Order Of Denial 0400068
Brian F. Ferraioli March 18, 2004 Notice Of Hearing 0400092
Christian Johnson March 26, 2004 Amended Order Of Revocation 0300636
Richard P. Hveem March 26, 2004 Notice Of Hearing 0400091
Orbitex Funds Distributor Inc. March 30, 2004 Consent Order Of Dismissal 0300760
Vincent Joseph Puma March 30, 2004 Consent Order Of Withdrawal 0300814
Christopher J. Borgo March 31, 2004 Notice Of Hearing 0400094
Marc S. Kimmel March 31, 2004 Order Of Denial 0300671
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