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Search Criteria: Begin Date "10-01-2006" End Date "10-31-2006"
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Name of Respondent(s) Date Type of Action File Number
Sergio M. Rovner October 02, 2006 Consent Order Of Withdrawal 0600030
Advantage Financial Partners L.L.C. October 06, 2006 Notice Of Hearing 0500594
Michael J. Crook,
Z Touch Systems Inc.
October 12, 2006 Order Of Prohibition 0500002
Michael J. Crook,
Z Touch Systems Inc.
October 12, 2006 Order Of Prohibition 0600051
Larry M. Phillips October 13, 2006 Consent Order Of Dismissal 0500301
Thomas Weisel Partners L.L.C. October 13, 2006 Consent Order 0500588
Thomas Weisel Partners L.L.C. October 13, 2006 Notice Of Hearing 0500588
Thomas Weisel Partners L.L.C. October 13, 2006 Order Of Dismissal 0500588
Fidelity Assurance Associates L.L.C. October 16, 2006 Consent Order 0400451
The Money Doctor System,
Carl Shelton
October 16, 2006 Summary Order To Cease And Desist 0600555
Pebble Beach Investments L.L.C.,
Barrv Chessick,
Vienna Trust Capital Ltd.
October 17, 2006 Notice Of Hearing 0500332
Leslie Schaller October 18, 2006 Final Order 0500083
Roderick James Rieman,
Innovative Financial Services Inc.
October 18, 2006 Consent Order 0500002
Roderick James Rieman,
Innovative Financial Services Inc.
October 18, 2006 Consent Order 0600051
Cynthia M. Couyoumjian October 19, 2006 Summary Order Of Denial 0600473
Firstline Financing October 19, 2006 Order Of Prohibition 0600342
J P Finance October 19, 2006 Order Of Prohibition 0600437
Unlimited Cash Inc.,
Douglas Network Enterprises
October 23, 2006 Notice Of Hearing 0300797
A.E.I. Environmental Inc.,
D/B/A Livestock Direct Inc.
October 24, 2006 Notice Of Hearing 0400605
T.A. Financial October 24, 2006 Order Of Prohibition 0600325
Chapin Davis October 25, 2006 Consent Order Of Fine 0600239
Flatlander Industries Inc.,
D/B/A Business Builders,
3R Products Inc.,
Richard L. Eikenberg,
Trent M Rousey
October 26, 2006 Notice Of Hearing 0500573
Lawrence M. Labine October 26, 2006 Notice Of Hearing 0500674
Thomas C. Hock October 26, 2006 Summary Order Of Denial 0600542
Timothy R. Touloukian October 31, 2006 Corrected Notice Of Hearing 0600467
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