Enforcement Actions Administrative

Aug 12
2008

Order No. IC08-SUS-09

IN THE MATTER OF THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF STANLEY EARNEST PYNDUS, JR.

Jul 23
2008

Order No. IC08-CAF-08

IN THE MATIER OF THE APPLICATIONS FOR THE INVESTMENT ADVISER REGISTRATION OF SELECT ASSET MANAGEMENT, LLC AND THE INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF BRIAN ANTHONY BJOR

Jul 17
2008

Order No. IC08-SUS-06

IN THE MATTER OF THE AGENT REGISTRATION OF JOHN EDWARD SHRYACK

Jul 14
2008

Order No. IC08-CAF-05

IN THE MATIER OF THE AGENT REGISTRATION OF PHILIP DOUGLAS GUNDY, AND THE DEALER REGISTRATION OF A.G.EDWARDS & SONS, INC.

Jul 2
2008

Order No. ENF-08-CDO-1657

IN THE MATTER OF NATIONAL FUNDING ALLIANCE, LLC,
AND DON J. KASHIANO

Jun 27
2008

Order No. ENF-08-CDO-1656

IN THE MATTER OF
COTTONWOOD PETROLEUM COMPANY

May 28
2008

Order No. ENF-08-CDO-1655

IN THE MATTER OF D'LOG MINING, INC. AND FERREL LEE WOODS AKA LEE WOODS

May 19
2008

Order No. ENF-08-CDO-1654

IN THE MATTER OF TIERONE CONVERGED NETWORKS, INC., AND KEVIN WEAVER

May 9
2008

Order No. IC08-SUS-04

IN THE MATTER OF THE AGENT REGISTRATION OF JOHN DAVID BUTLER

May 8
2008

Order No. ENF-08-CDO-1652

IN THE MATTER OF EXODUS EXPLORATION, LLC AND LEROY EDWARD "ROY"PRITCHARD