Enforcement Actions Administrative

Apr 27
2005

SOAH Docket No. 312-05-4097, SSB Order No. ENF-04-CDO-1579

In The Matter of Lyle Energy Group, Inc. aka Lyle Energy Group; Lyle Energy Partners, Inc.; E. Norman Lyle aka Norman Lyle; Norman Sheftall Lyle aka Shef Lyle; and Denzil B. Hope

Apr 22
2005

IC05-CAF-11

In The Matter of The Dealer Registration of Scudder Investor Services, Inc.

Apr 11
2005

IC05-CAF-10

In The Matter of The Investment Adviser Registration of Hawthorn Financial Advisors, Inc. and The Investment Adviser Representative Registration of Hubert Franklin Hawthorn, Jr.

Apr 6
2005

ENF-05-CDO-1587

In the Matter of Pureinvestor.com Inc., Bryan Marsden, PIPS Inc., PIC Trust Limited, Westoby Works, Team JollyPIPSter, LLC, Gary R. Westoby, Deborah M. Westoby, and TOrben Ole Jolnaes

Mar 17
2005

ENF-05-CDO-1586

In The Matter of ATM Alliance Corp., Michael T. Gilot, Maryann T. Gilot, and Dripping Springs Check Cashing & Shipping Outlet

Mar 16
2005

IC05-CAF-08

In The Matter of THe Dealer Registration of Zahorik Company, Inc.

Mar 13
2005

IC05-SUS-07

In THe Matter of The Agent Registration of Alfonso Roberto Asencio

Mar 10
2005

ENF-05-CDO-1585

In The Matter of In Touch Parents, Inc. dba Intouch Parents, Inc.; james robert “Bob” Shaw; and Jeff Martinez

Mar 10
2005

ENF-05-CDO-1584

In The Matter of William Erik Byrne

Mar 8
2005

IC05-CAF-06

In The Matter of The Investment Adviser Registration of Teakwood Financial Advisors, Inc. and The Investment Adviser Representative Registration of Rober Benton Wall