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Search Criteria: Begin Date "10-01-2004" End Date "10-31-2004"
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Name of Respondent(s) Date Type of Action File Number
Larcetta Linear October 05, 2004 Summary Order Of Denial 0400548
Barbara R. Kaplan,
A/K/A Barbara R. Israel
October 14, 2004 Notice Of Hearing 0400580
Robert William Esch,
D/B/A Whitemountain Financial
October 19, 2004 Notice Of Hearing 0300042
Larcetta Linear October 20, 2004 Order Vacating Summary Order 0400548
James A. Blackburn October 25, 2004 Consent Order 0200391
Octagon Financial Services Inc. October 26, 2004 Notice Of Hearing 0400317
Dupont Securities Group Inc. October 26, 2004 Order Of Cancellation 0400454
Dupont Securities Group Inc. October 26, 2004 Order Of Cancellation 0400584
Christopher Jacob Kinsley October 28, 2004 Final Order 0100756
Gerard Robert Celmer October 28, 2004 Final Order 0100756
Our Stock Profits October 28, 2004 Order Of Prohibition 0100373
J & R Financial Group Inc. October 29, 2004 Order Of Prohibition 0200391
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