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Search Criteria: Begin Date "09-01-2003" End Date "09-30-2003"
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Name of Respondent(s) Date Type of Action File Number
Barry J. Weber,
A/K/A J. Barry Weber
September 02, 2003 Order Of Prohibition And Fine 0000373
Kelly J. Woitel September 05, 2003 Consent Order Of Suspension 0200373
Pond Securities Corporation September 05, 2003 Consent Order Of Censure 0300545
James P. Morris September 11, 2003 Order Vacating Summary Order 0300690
Jack D. Stone September 15, 2003 Consent Order Of Dismissal 0300682
Q-2 Synergy Inc.,
A/K/A Freedom Systems International,
Dudley Gee
September 17, 2003 Summary Order To Cease And Desist 0300668
Daniel J. Russell September 22, 2003 Order Of Denial 0200968
Nicholas G. Tsikitas September 22, 2003 Consent Order Of Withdrawal 0300555
Martin Dennis Ross September 25, 2003 Notice Of Hearing 0300554
American Cash Flow Corporation September 26, 2003 Summary Order To Cease And Desist 0300685
Bryant F. Thompson September 26, 2003 Notice Of Hearing 0300664
Capital Access Ltd. September 26, 2003 Notice Of Hearing 0300756
C.M.G. Institutional Trading L.L.C. September 26, 2003 Notice Of Hearing 0300770
Equity Financial Management Services Inc. September 26, 2003 Notice Of Hearing 0300777
Golden Years Planning,
Bonnie Rohr
September 26, 2003 Notice Of Hearing 0100767
Introducing Brokers Alliance Inc. September 26, 2003 Notice Of Hearing 0300772
Investment Solution Inc. September 26, 2003 Notice Of Hearing 0300778
M.L.C. Ventures L.L.C. September 26, 2003 Notice Of Hearing 0300775
Traderight Corp. September 26, 2003 Notice Of Hearing 0300767
Vikram V. Naik September 26, 2003 Notice Of Hearing 0300578
White Mountain Capital L.L.C. September 26, 2003 Notice Of Hearing 0300773
Public Communication Services Inc. September 29, 2003 Notice Of Hearing 0200860
Federal Street Investments Inc. September 30, 2003 Notice Of Hearing 0300774
Fiserv Securities Inc. September 30, 2003 Notice Of Hearing 0300765
N.Y.P.P.E. L.L.C. September 30, 2003 Notice Of Hearing 0300771
Orbitex Funds Distributor Inc. September 30, 2003 Notice Of Hearing 0300760
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