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Name of Respondent(s) Date Type of Action File Number
Paul J. Pallo February 06, 2008 Consent Order Of Withdrawal Of Application 0700435
Robert Dal Santo,
Samuel Dal Santo,
Dal Santo Capital Management L.L.C.
February 07, 2008 Notice Of Hearing 0700029
Chanse K. Menendez Sr. February 08, 2008 Order Of Revocation 0500213
Edison F. Parker Jr. February 11, 2008 Notice Of Hearing 0700481
A.G. Edwards & Sons Inc. February 13, 2008 Order Of Dismissal 0300908
Group Partners 2000'S,
Patrick Foster
February 19, 2008 Temporary Order Of Prohibition 0600154
Phillip M. Graff February 19, 2008 Notice Of Hearing 0700561

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