Enforcement Actions Administrative

Oct 23
2007

Order No. IC07-CEN-22

In the Matter of the Investment Adviser Registration of Legacy Harbor

Oct 22
2007

Order No. ENF-07-CDO-1642

In the Matter of Kennrich Homes, Inc.;Richard E. Flueckiger; and Kenneth B. Luedecke, Jr.

Oct 15
2007

Order No. IC07-CEN-21

IN THE MATTER OF THE APPLICATION FOR INVESTMENT ADVISER REPRESENTATIVE REGISTRATION OF EUGENE CLARENCE HAMMONS

Oct 10
2007

Order No. ENF-07-CDO-1641

IN THE MATTER OF BLUE LOTUS INTERNATIONAL, INC.; THE COMMERCE GUILD, INC.; PRIVATE FUNDING INTERNATIONAL, INC.; DALE HARELIK; MARI TIERNEY AKA MARIE TIERNEY AKA TIERNEY MARIE; AND NICHOLAS J. GUERARD

Sep 18
2007

Order No. ENF-07-CDO-1640

Agreed Cease and Desist Order and Order Modifying Order No. ENF-07-CDO-1629

Sep 17
2007

Order No. ENF-07-CDO-1639

In the Matter of Sylvester Wilson and Damon Ponce De Leon

Sep 11
2007

Order No. ENF-07-CDO-1638

In the Matter of Shannon McAdams

Aug 24
2007

Order No. IC07-CAF-20

In the Matter of the Dealer Registration of Advanced Planning Securities, Inc.

Aug 14
2007

Order No. ENF-07-CDO-1636

In the Matter of Sun City Market, LLC and Joe Savage

Aug 14
2007

Order No. ENF-07-CDO-1637

In the Matter of Anthony Heuermann