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Search Criteria: Begin Date "10-01-2003" End Date "10-31-2003"
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Name of Respondent(s) Date Type of Action File Number
John J. Derrico October 03, 2003 Notice Of Hearing 0300655
Scott C. Winters October 03, 2003 Notice Of Hearing 0300688
American Cash Flow Corporation October 21, 2003 Notice Of Hearing 0300685
Fx Specialists,
Bill Saedlo
October 21, 2003 Order To Vacate 0200979
Capital Access Ltd. October 24, 2003 Consent Order Of Dismissal 0300756
Federal Street Investments Inc. October 27, 2003 Corrected Notice Of Hearing 0300774
Fiserv Securities Inc. October 27, 2003 Order Of Dismissal 0300765
Q-2 Synergy Inc.,
A/K/A Freedom Systems International,
Dudley Gee
October 27, 2003 Order To Cease And Desist 0300668
C.M.C. Institutional Trading L.L.C. October 27, 2003 Corrected Notice Of Hearing 0300770
Equity Financial Management Services Inc. October 27, 2003 Corrected Notice Of Hearing 0300777
Anthony L. Debenedictis October 31, 2003 Order Of Revocation 0300634
Barrv Chaskes October 31, 2003 Consent Order Of Withdrawal 0300185
H.J.M. International Trading Ltd.,
Humberto J. Martinez
October 31, 2003 Amended Notice Of Hearing 0201001
Joseph T. Pagano Jr. October 31, 2003 Order Of Revocation 0300556
Richard D. Russell Sr. October 31, 2003 Order Of Revocation 0300635
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