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Administrative and Criminal Proceedings 2009 All Archives

Danny M. Moore: Stipulation for Consent Order Danny M. Moore: Stipulation for Consent Order
Danny M. Moore: Consent Order Danny M. Moore: Consent Order
Scott L Ruther: Cease and Desist Order Scott L Ruther: Cease and Desist Order
Consent Order for Respondents Professional Investment Services, Inc. and Don H. Ehling Consent Order for Respondents Professional Investment Services, Inc. and Don H. Ehling
Professional Investment Services, Inc., Don H. Ehling, and John J. Orth Professional Investment Services, Inc., Don H. Ehling, and John J. Orth
Lion Share Capital, LLC, Lion Share Capital Partners, L.P.: Cease and Desist Order Lion Share Capital, LLC, Lion Share Capital Partners, L.P.: Cease and Desist Order
Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald: Consent Order Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald: Consent Order
Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald: Stipulation for Consent Order Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald: Stipulation for Consent Order
David M. Hulshof, d/b/a, Buena Vista Buniss Services, L.L.C.: Stipulation for Consent Order David M. Hulshof, d/b/a, Buena Vista Buniss Services, L.L.C.: Stipulation for Consent Order
David M. Hulshof, d/b/a, Buena Vista Buniss Services, L.L.C.: Consent Order David M. Hulshof, d/b/a, Buena Vista Buniss Services, L.L.C.: Consent Order
Professional Investment Services, Inc., Don H. Ehling, and John J. Orth Professional Investment Services, Inc., Don H. Ehling, and John J. Orth
JP Morgan Chase & Co.: Consent Order JP Morgan Chase & Co.: Consent Order
Kingdom Oil Inc. and Ernest W. Cadick: Default Order of Sanctions Kingdom Oil Inc. and Ernest W. Cadick: Default Order of Sanctions
Stephen G. Hillmer, Trey Hawkins, Richard Brown: Cease and Desist Order Stephen G. Hillmer, Trey Hawkins, Richard Brown: Cease and Desist Order
RBC Capital Markets Corporation: Consent Order RBC Capital Markets Corporation: Consent Order
Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald
Rick Knowles: Cease and Desist Order Rick Knowles: Cease and Desist Order
Carleen J. Brubaker: Cease and Desist Order Carleen J. Brubaker: Cease and Desist Order
Rapid Fire Solutions, Inc., Steven T. Rasmussen: Default Order of Sanctions Rapid Fire Solutions, Inc., Steven T. Rasmussen: Default Order of Sanctions
Merrill Lynch, Pierce, Fenner & Smith Incorporated: Consent Order Merrill Lynch, Pierce, Fenner & Smith Incorporated: Consent Order
Banc of America Securities, LLC: Consent Order Banc of America Securities, LLC: Consent Order
Professional Investment Services, Inc., Don H. Ehling, and John J. Orth Professional Investment Services, Inc., Don H. Ehling, and John J. Orth
Kingdom Oil Inc. and Ernest W. Cadick: Notice of Intent to Invoke Administrative Sanctions Kingdom Oil Inc. and Ernest W. Cadick: Notice of Intent to Invoke Administrative Sanctions
Prosper Marketplace, Inc.: Consent Order Prosper Marketplace, Inc.: Consent Order
Mark W. Miller and MW Miller Financial Inc.: Consent Order Mark W. Miller and MW Miller Financial Inc.: Consent Order
Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald Alma, Inc., James W. Moore, Thomas C. Moore, and Richard E. McDonald
Main Street Securities, LLC and Bobb A. Meckenstock: Consent Order Main Street Securities, LLC and Bobb A. Meckenstock: Consent Order
Mark W. Miller and MW Miller Financial Inc.: Stipulation for Consent Order Mark W. Miller and MW Miller Financial Inc.: Stipulation for Consent Order
Main Street Securities, LLC and Bobb A. Meckenstock: Stipulation for Consent Order Main Street Securities, LLC and Bobb A. Meckenstock: Stipulation for Consent Order
Rapid Fire Solutions, Inc., Steven T. Rasmussen: Notice of Intent to Impose Administrative Sanction Rapid Fire Solutions, Inc., Steven T. Rasmussen: Notice of Intent to Impose Administrative Sanction
Wachovia Securities, LLC and Wachovia Capital Markets, LLC: Consent Order Wachovia Securities, LLC and Wachovia Capital Markets, LLC: Consent Order
Greg B. Kaifes: Consent Order Greg B. Kaifes: Consent Order
Greg B. Kaifes: Stipulation for Consent Greg B. Kaifes: Stipulation for Consent
James Norris Holland, Jr.: Consent Order James Norris Holland, Jr.: Consent Order
James Norris Holland, Jr.: Stipulation for Consent James Norris Holland, Jr.: Stipulation for Consent
Scott A. Lehner: Default Order Scott A. Lehner: Default Order