Enforcement Actions Administrative

Dec 22
2000

Order No. CAF-1411

In the Matter of Dealer Registration of K.W. Chambers & Co. and the Agent Registration of James Ronald Sanford

Dec 15
2000

Order No. CAF-1410

In the Matter of the Agent Registration of James Marvin Windham, Jr.

Dec 4
2000

Order No. CDO-1409

In the Matter of Roberta Ludlow d/b/a C & R Professional Service

Nov 30
2000

Order No. CP-1408

In the Matter of Tamarack Funding Corporation, Garry P. Isaacs, and Mary T. Johnson

Nov 2
2000

Order No. CDO-1406

In the Matter of William Buse

Nov 2
2000

Order No. CAF-1407

In the Matter of the Application for Agent Registration of Todd A. Harmon

Oct 23
2000

Order No. CEN-1405

In the Matter of the Application for the Agent Registration of Matthew Tran

Oct 12
2000

Order No. CAF-1404

In the Matter of the Investment Adviser Registration of Marton & Associates, Inc. and the Agent Registration of Sherry Marton

Oct 12
2000

Order No. CAF-1403

In the Matter of Lawrence Cheung, the Dealer Registration of Supertrade Securities, Inc. and the Application for Agent Registration of Chiu Keung Wong

Aug 24
2000

Order No. CAF-1402

In the Matter of the Dealer Registration of American Express Financial Advisors,Inc.