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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