Enforcement Actions Administrative

Oct 2
2008

Order No. IC08-CDO-15

IN THE MATTER OF THE DEALER REGISTRATION OF MORGAN STANLEY & CO. INCORPORATED

Sep 30
2008

Order No. IC08-CDO-13

IN THE MATTER OF MATIHEW B. BURNHAM AND THE INVESTMENT ADVISOR REGISTRATION OF CRUDEN BAY CAPITAL PARTNERS GP, LP

Sep 30
2008

Order No. IC08-SUS-14

IN THE MATTER OF THE INVESTMENT ADVISOR REGISTRATION OF JOSEPH ANDREW ACCIARITO

Sep 22
2008

Order No. IC08-CAF-12

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

Sep 11
2008

Order No. ENF-08-CDO-1661

IN THE MATTER OF SECURE GROWTH LLC AND ROBERT P. MCGANN

Aug 29
2008

Order No. ENF-08-CDO/FIN-1659

IN THE MATTER OF WHITT OIL &GAS, INC. AND W.J. WHIT

Aug 29
2008

Order No. ENF-08-CDO/FIN-1660

IN THE MATTER OF ALEJANDRO PERALES

Aug 27
2008

Order No. ENF-08-CDO-1658

IN THE MATTER OF FIRST DIVERSIFIED FINANCIAL SERVICES, INC"AND MICHAEL LEWIS CLARK

Aug 25
2008

Order No. IC08-SUS-11

IN THE MATTER OF THE AGENT REGISTRATION OF JOHN MICHAEL CURRAN AND THE DEALER REGISTRATION OF EDI FINANCIAL, INC.

Aug 14
2008

Order No. IC08-REV-10

IN THE MATTER OF THE DEALER REGISTRATION OF COSTA FINANCIAL SECURITIES, INC.