Enforcement Actions Administrative

Oct 28
2003

Order No. CDO-1545

In the Matter of Kenneth Paul Lawrence

Oct 17
2003

Order No. CDO/FIN-1544

In the Matter of the Dealer Registration of Bear, Stearns & Co. Inc.

Oct 13
2003

Order No. CDO/FIN-1543

In the Matter of the Dealer Registration of Morgan Stanley & Co. Incorporated

Oct 10
2003

Order No. CDO-1542

In the Matter of NSI Development Corporation; Joe Loofbourrow and George Edwards

Sep 23
2003

Order No. CDO/FIN-1541

In the Matter of Strategic Financial Advisors, Inc. and David Kaye

Sep 23
2003

Order No. CDO-1540

In the Matter of National CD Brokers AKA NCDB; Phil Head; Harris I. Strong and Rita Brychta

Sep 23
2003

Order No. CDO/FIN-1539

In the Matter of the Dealer Registration of U.S. Bancorp Piper Jaffray Inc.

Sep 22
2003

Order No. CDO-1538

In the Matter of Thell G. Prueitt DBA Fresh Start Funding Group; David K. Hughes; ATM Marketing, Inc.; Paul R. Miller; and ATM Mangement, Inc.

Sep 18
2003

Order No. CDO/FIN-1537

In the Matter of the Dealer Registration of Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation

Sep 17
2003

Order No. CAF-1536

In the Matter of the Dealer Registration of Ameritas Investment Corporation