Enforcement Actions Administrative

Feb 14
2003

Order No. CDO-1497

In the Matter of Diamond "S"Oil, LLC and Pete Lippincott

Feb 12
2003

Order No. CDO-1495

In the Matter of Omega Financial Group

Feb 6
2003

Order No. SUS-1494

In the Matter of the Agent Registration of Alonso Martin Martinez

Feb 3
2003

Order No. CDO-1493

In the Matter of Strike Challenge, Inc.; Richard A. Humphrey; and Gary Ashcraft

Jan 16
2003

Order No. CAF-1492

In the Matter of the Agent Registration of Douglas Wayne Blankenship

Jan 10
2003

Order No. CDO-1491

In the Matter of Pension Plans of America; Ken A. Wright; and Lloyd Sharp

Dec 31
2002

Order No. CDO-1490

In the Matter of Southwest Earth Resources, Inc. and Gary A. Shepherd

Dec 30
2002

Order No. CDO-1489

In the Matter of A.B.B. Sanitec West, Inc.; Strategic Financial Advisors, Inc.; David Kaye; Sam Foster; Michael Lawrence and Sidney Green This Emergency Cease and Desist Order has been modified solely as it relates to Strategic Financial Advisors, Inc., and David Kaye."

Dec 19
2002

Order No. CAF-1488

In the Matter of the Application for Investment Adviser Registration of Kleinheinz Capital Partners, Inc., and the Investment Adviser Representative Registration of John Burke Kleinheinz

Dec 18
2002

Order No. CDO-1487

In the Matter of Hobbs Oil Company; Ray K. Hobbs; and Myra Ray