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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| James S. Huh | December 01, 2004 | Notice Of Hearing | 0400482 |
| Janney Montgomery Scott L.L.C. | December 01, 2004 | Corrected Notice Of Hearing | 0400652 |
| James E. Easton | December 02, 2004 | Notice Of Hearing | 0400442 |
| Tom Vabakos | December 03, 2004 | Notice Of Hearing | 0400321 |
| Tom Vabakos | December 03, 2004 | Summary Order Of Denial | 0400321 |
| William T. Mukai | December 06, 2004 | Notice Of Hearing | 0400654 |
| Cash Now, A/K/A Cash Now Inc., A/K/A W.W.W.Cashnow.C.A., A/K/A W.W.W.Cashnowplus.Com |
December 07, 2004 | Amended Notice Of Hearing | 0100628 |
| Bankers & Investors Company | December 08, 2004 | Summary Order Of Denial | 0400380 |
| Tom Vabakos | December 10, 2004 | Consent Order | 0400321 |
| S.C.O Securities L.L.C. | December 13, 2004 | Consent Order Of Revocation | 0400242 |
| Boggie Hanczarukharlow | December 16, 2004 | Temporary Order Of Prohibition | 0300863 |
| Estate Management Services Inc., A/K/A E.M.S., Daniel George Petrilli |
December 17, 2004 | Temporary Order Of Prohibition | 0400756 |
| Octagon Financial Services Inc. | December 21, 2004 | Consent Order Of Dismissal | 0400317 |
| Premium One Solutions | December 21, 2004 | Order Of Prohibition | 0400671 |
| Siemens Financial, A/K/A Siemens Financial Services |
December 21, 2004 | Order Of Prohibition | 0400614 |
| Westminister Financial Services Inc., A/K/A Westminister Finance Inc. |
December 21, 2004 | Order Of Prohibition | 0400617 |
| Christian Dream Builders Financial Planning Inc., Kenneth D. Bivens |
December 28, 2004 | Order Of Prohibition | 0400252 |
| Joseph A. Cantafio | December 30, 2004 | Temporary Order Of Prohibition | 0200657 |
| Primex, Prime Securities Exchange Inc., Cary Edwin Grant |
December 30, 2004 | Temporary Order Of Prohibition | 0200798 |
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