Enforcement Actions Administrative

Jan 3
2008

Order No. ENF-08-CDO-1645

IN THE MATTER OF SEMA OIL & GAS INCORPORATED AND ANTHONY R. SISSINE

Dec 20
2007

Order No. IC07-SUS-29

IN THE MATTER OF THE DEALER REGISTRATION OF SOLOMON ADVISORS, INC.

Dec 10
2007

Order No. IC07-SUS-27

IN THE MATTER OF THE INVESTMENT ADVISER REGISTRATION OF GAMBOA CAPITAL MANAGEMENT INC. AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF MARCOGAMBOA

Dec 10
2007

Order No. IC07-SUS-28

IN THE MATTER OF THE APPLICATIONS FOR THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF PATRICIA ANN SHEARER

Dec 5
2007

Order No. IC07-SUS-26

IN THE MATTER OF THE AGENT REGISTRATION OF MARTIN DEAN WHITE, SR.

Dec 3
2007

Order No. ENF-07-CDO-1644

IN THE MATTER OF JAY ALAN BRAMLETT AKA JAY BRAMLETT

Nov 20
2007

Order No. ENF-07-CDO-1643

In the Matter of Fabulair, LLC and Douglas James Hord

Nov 20
2007

Order No. IC07-CEN-24

In the Matter of the Dealer Registration of M&W Financial, Inc.

Nov 20
2007

Order No. IC07-SUS-25

In the Matter of the Agent Registration of Craig Alan Jansen

Nov 8
2007

Order No. IC07-CEN-23

In the Matter of the Investment Adviser Registration of Mederick L. Shaw D/B/A/ Smith & Shaw Investment Co.