Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| A.G. Edwards & Sons Inc. | December 01, 2006 | Notice Of Hearing | 0300908 |
| Kevin D. Wells | December 04, 2006 | Notice Of Hearing | 0600465 |
| Stonington Corporation | December 04, 2006 | Order Of Revocation | 0600211 |
| Cambridge Energy Waste Management Ltd, Howard J. Goldberg |
December 05, 2006 | Temporary Order Of Prohibition | 0600374 |
| Leslie T. Adams, Global Transitional Services |
December 05, 2006 | Temporary Order Of Prohibition | 0600430 |
| Richard A. Wells, Wells Financial Services |
December 06, 2006 | Temporary Order Of Prohibition | 0600588 |
| William James Hogan | December 06, 2006 | Order Of Prohibition And Fine | 0400748 |
| Provision Operation Systems Inc., Robert Fletcher |
December 07, 2006 | Temporary Order Of Prohibition | 0400667 |
| Sunrise Energy Inc., D/B/A Blue Marlin Energy, Shea Silva, Energy 2000 Inc., Jimmey E. Morrisett |
December 07, 2006 | Temporary Order Of Prohibition | 0400361 |
| Frank T. Devine | December 12, 2006 | Order Of Prohibition | 0400711 |
| International Candle Corporation | December 12, 2006 | Order To Cease And Desist | 0500077 |
| Banc Of America Investment Services Inc., Quick & Reilly Inc. |
December 15, 2006 | Notice Of Hearing | 0300622 |
| Arun K. Salwan | December 18, 2006 | Notice Of Hearing | 0600624 |
| Banc Of America Investment Services Inc., Quick & Reilly Inc. |
December 18, 2006 | Consent Order | 0300622 |
| Gary L. Pittsford | December 19, 2006 | Summary Order Of Denial | 0600423 |
| Global Power Global Wealth Enterprises L.L.C., Global Wealth Investments L.L.C., Andre E. Mitchell |
December 19, 2006 | Order Of Prohibition | 0500537 |
| Global Wealth Builders L.L.C., Global Wealth Investments L.L.C., Global Asset Management & Multiplier Account Fund (Gamma), Asset Management Income & Growth Account Fund (Amiga), Andre E. Mitchell |
December 19, 2006 | Order Of Prohibition | 0600449 |
| Trent A. Johnson | December 19, 2006 | Notice Of Hearing | 0600172 |
| Kevin D. Wells | December 21, 2006 | Consent Order Of Withdrawal Of Application | 0600465 |
| Quantum Biomod Corporation, David A. Goodman |
December 21, 2006 | Notice Of Hearing | 0400601 |
| Deutsche Asset Management Inc., Deutsche Investment Management Americas Inc. |
December 28, 2006 | Consent Order | 0400062 |
| Deutsche Asset Management Inc., Deutsche Investment Management Americas Inc. |
December 28, 2006 | Notice Of Hearing | 0400062 |
| Deutsche Asset Management Inc., Deutsche Investment Management Americas Inc. |
December 28, 2006 | Order Of Dismissal | 0400062 |
| Felix Daniel, R.Y.M. Technology Holdings L.L.C., D/B/A R.Y.M. Technology L.L.C. |
December 29, 2006 | Temporary Order Of Prohibition | 0600670 |
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