Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Frost Brokerage Services Inc. | November 03, 2004 | Summary Order Of Denial | 0400530 |
| Nicholas S. Savva | November 03, 2004 | Notice Of Hearing | 0400469 |
| Scott Mikros, Mikros Economics Hedge Fund L.L.C., Risk Management International L.L.C. |
November 03, 2004 | Temporary Order Of Prohibition | 0400639 |
| W. Craig And Company, Auctions For Income, Elijah Rubin, Dave Espino |
November 03, 2004 | Order To Cease And Desist | 0400136 |
| William H. Pluchel | November 03, 2004 | Notice Of Hearing | 0400545 |
| Christian Dream Builders Financial Planning Inc., Kenneth D. Bivens |
November 08, 2004 | Temporary Order Of Prohibition | 0400252 |
| D B S I Securities Corporation | November 09, 2004 | Consent Order Of Dismissal | 0400230 |
| Curtis Aviation Services Inc., Michael H. Curtis |
November 12, 2004 | Notice Of Hearing | 0300884 |
| James E. Upshaw Sr., Upshaw And Associates L.L.C. |
November 16, 2004 | Consent Order Of Prohibition | 0400222 |
| Sandpoint Capital L.L.C. | November 24, 2004 | Consent Order Of Revocation | 0400149 |
| Janney Montgomery Scott L.L.C. | November 30, 2004 | Notice Of Hearing | 0400652 |
| Richard A. Saitta | November 30, 2004 | Summary Order Of Denial | 0400673 |
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