Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Bradley E. Kirk | April 05, 2004 | Order Of Revocation | 0300941 |
| James W. Jonen | April 05, 2004 | Order Of Revocation | 0300861 |
| Robert C. Tollefson | April 05, 2004 | Notice Of Hearing | 0400174 |
| Timothy D. Skelly | April 05, 2004 | Notice Of Hearing | 0400158 |
| E. K. Riley Investments L.L.C. | April 07, 2004 | Notice Of Hearing | 0400096 |
| Kurt A. Johnson | April 07, 2004 | Summary Order Of Denial | 0300922 |
| Salvatore Clark | April 07, 2004 | Notice Of Hearing | 0400093 |
| William Bruce Jr. | April 07, 2004 | Temporary Order Of Prohibition | 0200292 |
| J. P. Morgan Securities Inc. | April 08, 2004 | Consent Order | 0300912 |
| J. P. Morgan Securities Inc. | April 08, 2004 | Notice Of Hearing | 0300912 |
| J. P. Morgan Securities Inc. | April 08, 2004 | Order Of Dismissal | 0300912 |
| S. B. Cantor & Co. Inc. | April 12, 2004 | Order Of Cancellation | 0300812 |
| S. B. Cantor & Co. Inc. | April 12, 2004 | Order Vacating Order Of Cancellation | 0300812 |
| Barry F. Cassese | April 12, 2004 | Order Of Revocation | 0300836 |
| Equity Financial Management Services Inc. | April 12, 2004 | Order Of Cancellation | 0400077 |
| H & R Block Financial Advisors Inc. | April 12, 2004 | Notice Of Hearing | 0000397 |
| Richard M. Melendez | April 14, 2004 | Summary Order Of Denial | 0400208 |
| E Street Access | April 14, 2004 | Order Of Cancellation | 0300751 |
| Richard M. Melendez | April 14, 2004 | Summary Order Of Denial | 0400198 |
| Ronald Provart | April 16, 2004 | Consent Order | 0200391 |
| Timothy D. Skelly | April 16, 2004 | Order Of Dismissal | 0400158 |
| Lewis Dean Mcbride | April 19, 2004 | Order To Dismiss Notice Of Hearing | 0300153 |
| Combined Resource Systems | April 20, 2004 | Summary Order To Cease And Desist | 0300891 |
| Davis Financial Group | April 20, 2004 | Order Of Prohibition | 0400027 |
| Dunmac Financial Associates, A/K/A A.D.R. Marketing |
April 20, 2004 | Order Of Prohibition | 0400007 |
| Zoom Technologies | April 21, 2004 | Order To Cease And Desist | 0100701 |
| E. K. Riley Investments L.L.C. | April 22, 2004 | Consent Order Of Censure | 0400096 |
| Euro Resource Group | April 22, 2004 | Corrected Order Of Prohibition | 0200131 |
| Starmax Entertainment | April 22, 2004 | Corrected Order Of Prohibition | 0400061 |
| Rochelle, A/K/A Shellie G. Cohen |
April 28, 2004 | Consent Order Of Withdrawal | 0400017 |
| Bruce E. Carlson | April 29, 2004 | Notice Of Hearing | 0400068 |
| Keith J. Andrews | April 29, 2004 | Order Of Revocation | 0300942 |
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