Enforcement Actions Administrative

Apr 16
2003

Order No. CAF-1509

In the Matter of the Application for Agent Registration of Todd William Cowle

Apr 16
2003

Order No. CDO-1508

In the Matter of East Coast Imaging of Florida, Inc.; Heartscan East Coast Imaging, LLC; Sunrise Consulting; Donald E. Nelson; Jerry L. Aubrey; Josh Blalock; Frank Leppanen; and Carol Aubrey

Apr 16
2003

Order No. CEN/SUS-1507

In the Matter of the Agent Registration of Robert Michael Graves, Jr.

Apr 14
2003

Order No. CEN/SUS-1506

In the Matter of the Dealer Registration of James Wheeler & Co. Investments, Inc.

Apr 10
2003

Order No. CDO-1505

In the Matter of Kenneth R. Golightly

Apr 2
2003

Order No. CDO-1504

In the Matter of David Henry Disraeli DBA Disraeli and Associates

Mar 31
2003

Order No. CDO-1503

In the Matter of Innovative Consulting, Inc. aka Innovative Consulting USA aka Innovative Consulting; Whitman & Associates and James Bradley

Mar 24
2003

Order No. CAF-1502

In the Matter of the Dealer Registration of Lone Star Securities, Inc. and the Agent Registration of Joseph Hobdy Ireland

Mar 19
2003

Order No. SUS/FIN-1501

In the Matter of the Agent Registration of Christopher Noel Williams

Mar 18
2003

Order No. CDO-1500

In the Matter of Ronald Yeasley and Blue Sky Investment Strategies