Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Janney Montgomery Scott L.L.C. | June 02, 2005 | Consent Order Of Censure | 0400652 |
| Donald L. Roseen | June 08, 2005 | Corrected Notice Of Hearing | 0500142 |
| Terra Energy Fund 1 L.L.C., Gregory A. Donelson, Vestreon Funding L.L.C, Peter H. Kelley |
June 14, 2005 | Notice Of Hearing | 0400358 |
| William James Hogan | June 14, 2005 | Notice Of Hearing | 0400748 |
| Albert E. Harris, Harris Remote Saver Inc. |
June 15, 2005 | Consent Order | 0500044 |
| Bear Stearns & Co. Inc. | June 17, 2005 | Consent Order | 0500088 |
| Janina A. Dittmar, A/K/A Janina A. Casey |
June 17, 2005 | Consent Order Of Withdrawal | 0400441 |
| Nicholas A. Denucci | June 20, 2005 | Consent Order Of Withdrawal | 0400420 |
| Polite And Company, Philip L. Polite |
June 20, 2005 | Second Consent Order | 0300194 |
| Victor D. Greco | June 21, 2005 | Notice Of Hearing | 0400172 |
| Lavene R. Thompson Jr. | June 22, 2005 | Notice Of Hearing | 0500102 |
| John D. Buglisi | June 24, 2005 | Order Of Revocation | 0400717 |
| Rizwan Fazeel | June 24, 2005 | Consent Order Of Withdrawal | 0500216 |
| Stephen G. Roehrig | June 24, 2005 | Order Of Denial | 0500183 |
| Century Financial, Demondo S. Thomas, James E. Casmay |
June 29, 2005 | Temporary Order Of Prohibition | 0500200 |
| David L. Jordon | June 29, 2005 | Summary Order Of Denial | 0500225 |
| Juan C. Alejos | June 29, 2005 | Consent Order Of Withdrawal | 0400391 |
| Scott K. Fischer | June 30, 2005 | Amended Notice Of Hearing | 0500103 |
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