Enforcement Actions Administrative

Oct 10
2002

Order No. CDO-1478

In the Matter of Virtual Cash Card, LLC; Virtual Cash, LLC; Eric Turner; Kenneth May; joe Roberts; and Tony Perone

Sep 27
2002

Order No. REV-1477

In the Matter of the Dealer Registration of J.P. Gibbons & Co., Inc.

Sep 23
2002

Order No. REV-1474

In the Matter of the Dealer Registration of Bell Investment Group, Inc.

Sep 23
2002

Order No. REV-1476

In the Matter of the Dealer Registration of R.D. White & Co., Inc.

Sep 23
2002

Order No. REV-1475

In the Matter of the Dealer Registration of PMB Securities Co., L.P.

Sep 19
2002

Order No. CAF-1473

In the Matter of the Agent Registration of Stuart Charles Duncan

Sep 17
2002

Order No. CDO-1472

In the Matter of Randal Floyd; Trinity Capital Group; Visions Rehab, LLC

Sep 11
2002

Order No. CAF-1471

In the Matter of the Dealer Registration of Wunderlich Securities, Inc. and the Agent Registration of Micheal Barrett Suttle

Aug 13
2002

Order No. CAF/CDO-1469

In the Matter of the Agent Registration of Neil Wayne Brooks and The Neil W. Brooks and Robert Allen C. Limited Partnership

Aug 8
2002

Order No. CDO-1468

In the Matter of Warren Resources Company, Warren Resources Company #1, LLC and Bryce Patrick Phillips