Enforcement Actions Administrative

Mar 7
2006

Order No. IC06-CEN-03

In the Matter of the Dealer Registration of RiverStone Wealth Management, Inc. and the Application for Agent Registration of Carl I. Fuhrmann, Jr.

Feb 27
2006

Order No. ENF-06-CDO-1610

In the Matter of Douglas Leon Ellis

Feb 27
2006

Order No. ENF-06-CDO-1609

In the Matter of Alejandro C. Gonzalez A/k/a Alex C. Gonzalez

Feb 24
2006

Order No. IC06-CAF-02

In the Matter of the Dealer Registration of Prospera Financial Services, Inc.

Feb 21
2006

SOAH Docket No. 312-06-0988, SSB Docket No. 06-IC01

In the Matter of James Charles Lennon

Feb 14
2006

Order No. ENF-06-CDO-1607

In the Matter of Brazos Valley Capital, L.L.C.; Box 40 Group, L.L.C; David Allan Hilburn;
Texas Senior Services, L.L.C. DBA Investing 4 Retirement; and Richard A. Wilson

Feb 14
2006

Order No. ENF-06-CDO-1608

In the Matter of Power Station, LLC, Matthew Buscher, Henry Mauriss, and Douglas Rucker

Feb 12
2006

Order No. ENF-06-CDO-1606

In the Matter of George Stephen Yencho

Feb 7
2006

Order No. ENF-06-CDO-1604

In the Matter of Saundra K. Brooks