Enforcement Actions Administrative

Mar 16
2009

Order No. IC09-CDO-06

IN THE MATTER OF THE DEALER REGISTRATIONS OF WACHOVIA SECURITIES, LLC AND WACHOVIA CAPITAL MARKETS, LLC

Mar 16
2009

Order No. ENF-09-CDO-1668

IN THE MATTER OF WELL BRANDS PRODUCTS, CO.

Mar 2
2009

Order No. IC09-SUS-04

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF BARBARA ANNE BOYCE

Mar 2
2009

Order No. ENF-09-CDO-1670

IN THE MATTER OF 808 INVESTMENTS, LLC; 808 ENERGY, LLC; SOUTHERN PACIFIC ENERGY, INC.; PATRICK S. CARTER; ANDREW CORDOVA; AND GLENN KANEKO

Feb 19
2009

Order No. IC09-SUS-03

IN THE MATTER OF THE APPLICATION FOR THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF KEVIN CALANDRO AND THE AGENT REGISTRATION OF KEVIN CALANDRO

Feb 18
2009

Order No. ENF-09-CDO/FIN-1667

IN THE MATTER OF DOROTHY OF OZ, LLC D/B/A BOX OFFICE PRODUCTIONS III, LLC; AND NEIL LEROY KAUFMAN

Feb 13
2009

Order No. IC09-CAF-02

IN THE MATTER OF THE DEALER REGISTRATION OF SECURIAN FINANCIAL SERVICES, INC.

Jan 27
2009

Order No. ENF-09-CDO-1666

IN THE MATTER OF VADC, INC., ALSO KNOWN AS VISION ASSET DEVELOPMENT COMPANY, INC., GOLDEN TRIANGLE ENERGY, CORP., MICHAEL E. DANNELLY, WILLIAM McGARRY AND HARLEY GARVIN

Jan 21
2009

Order No. ENF-09-CDO-1665

IN THE MATTER OF THE VINE ENTERTAINMENT, LLC AND WARREN DURSO

Jan 5
2009

Order No. IC09-CAF-01

IN THE MATTER OF THE DEALER REGISTRATION OF ABSHIER WEBB DONNELLY & BAKER, INC.