Administrative Actions Search
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| Name of Respondent(s) | Date | Type of Action | File Number |
|---|---|---|---|
| Cambridge Energy Wast Management Ltd., Howard J. Goldberg |
March 02, 2007 | Order Of Prohibition | 0600374 |
| John Green Consulting Inc. | March 02, 2007 | Final Order Of Denial | 0700064 |
| Scott Mikros, Mikros Economics Hedge Fund L.L.C., Risk Management International L.L.C. |
March 02, 2007 | Order Of Prohibition | 0400639 |
| Unlimited Cash Inc., Douglas Network Enterprises |
March 02, 2007 | Order Of Prohibition And Fine | 0300797 |
| Wachovia Capital Markets L.L.C. | March 02, 2007 | Consent Order | 0400407 |
| Wachovia Capital Markets L.L.C. | March 02, 2007 | Notice Of Hearing | 0400407 |
| Wachovia Capital Markets L.L.C. | March 02, 2007 | Order Of Dismissal | 0400407 |
| Roy H. Waugh, D/B/A 412 Omni Media L.L.C. |
March 06, 2007 | Temporary Order Of Prohibition | 0700062 |
| Buysellenterprise.Com, Franklin Media And Technology Group, A.E. Holdings Corporation, A.E.H. Corporation |
March 07, 2007 | Order Of Prohibition | 0600456 |
| Lawrence M. Labine | March 09, 2007 | Consent Order Of Withdrawal | 0500674 |
| Conquest Financial Services | March 12, 2007 | Order Of Prohibition | 0600503 |
| Gary Wayne Hardy, Hardy Asset Management |
March 12, 2007 | Amended Order Of Prohibition And Fine | 0500472 |
| Gary L. Pittsford | March 13, 2007 | Consent Order Of Withdrawal | 0600423 |
| Steven W. Norin | March 13, 2007 | Order Of Revocation | 0600310 |
| Craig L. Josephberg | March 15, 2007 | Notice Of Hearing | 0600490 |
| John Green Consulting Inc. | March 15, 2007 | Order To Vacate | 0700064 |
| Advantage Financial Partners L.L.C. | March 16, 2007 | Order Of Dismissal | 0500594 |
| A.E.I. Environmental Inc., D/B/A Livestock Direct Inc. |
March 19, 2007 | Consent Order | 0400605 |
| Dennis R. Weddle I I | March 19, 2007 | Notice Of Hearing | 0600625 |
| Morgan Stanley D.W. Inc. | March 19, 2007 | Order Of Dismissal | 0300627 |
| John Green Consulting Inc., John Thomas Sostak |
March 20, 2007 | Notice Of Hearing | 0700064 |
| James C. Ackerman | March 21, 2007 | Consent Order Of Dismissal | 0500259 |
| Oscar Donald Overbey Jr. | March 21, 2007 | Temporary Order Of Prohibition | 0600460 |
| The Loan Shoppe Inc., Charles E. Carver |
March 22, 2007 | Temporary Order Of Prohibition | 0500211 |
| Wilfredo A. Carbonquillo | March 23, 2007 | Notice Of Hearing | 0600586 |
| Shepherd James, Benhilton Investments Limited, Alan Frum Ford, Lonford Limited, Charles N. Neville, Law Consortium Limited |
March 26, 2007 | Temporary Order Of Prohibition | 0600634 |
| Platinum Capital Advocates Inc., Platinum Capital Advocates Elite Inc. |
March 26, 2007 | Temporary Order Of Prohibition | 0700066 |
| Hughes Energy Inc., Carl E. Royse |
March 28, 2007 | Consent Order | 0500536 |
| Dave Espino, Auctions For Income |
March 29, 2007 | Order To Cease And Desist | 0600576 |
| Patricia C. Fanella | March 30, 2007 | Consent Order Of Withdrawal | 0600367 |
| Scott H. Gitomer | March 30, 2007 | Order Of Revocation | 0500689 |
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