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Search Criteria: Begin Date "11-01-2004" End Date "11-30-2004"
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Name of Respondent(s) Date Type of Action File Number
Frost Brokerage Services Inc. November 03, 2004 Summary Order Of Denial 0400530
Nicholas S. Savva November 03, 2004 Notice Of Hearing 0400469
Scott Mikros,
Mikros Economics Hedge Fund L.L.C.,
Risk Management International L.L.C.
November 03, 2004 Temporary Order Of Prohibition 0400639
W. Craig And Company,
Auctions For Income,
Elijah Rubin,
Dave Espino
November 03, 2004 Order To Cease And Desist 0400136
William H. Pluchel November 03, 2004 Notice Of Hearing 0400545
Christian Dream Builders Financial Planning Inc.,
Kenneth D. Bivens
November 08, 2004 Temporary Order Of Prohibition 0400252
D B S I Securities Corporation November 09, 2004 Consent Order Of Dismissal 0400230
Curtis Aviation Services Inc.,
Michael H. Curtis
November 12, 2004 Notice Of Hearing 0300884
James E. Upshaw Sr.,
Upshaw And Associates L.L.C.
November 16, 2004 Consent Order Of Prohibition 0400222
Sandpoint Capital L.L.C. November 24, 2004 Consent Order Of Revocation 0400149
Janney Montgomery Scott L.L.C. November 30, 2004 Notice Of Hearing 0400652
Richard A. Saitta November 30, 2004 Summary Order Of Denial 0400673
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