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CGF Securities, LLC, Ross Owen Haugen - Consent Order

Tuesday, December 16, 2003

Categories: Enforcement Actions

William L. Toft - Consent Order

Monday, December 15, 2003

Categories: Enforcement Actions

Bear, Stearns & Co. Inc. - Consent Order

Tuesday, December 9, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Brian Henry - Consent Order

Wednesday, December 3, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Gerald Henry - Consent Order

Wednesday, December 3, 2003

Categories: Enforcement Actions

Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc. - Consent Order

Friday, November 21, 2003

Categories: Enforcement Actions

Craig F. Wollenburg, SPF Energy, Inc. - Consent Order

Thursday, November 20, 2003

Categories: Enforcement Actions

Preferred Trust and Management, LTD, Mitchell Keiser - Consent Order

Thursday, November 20, 2003

Categories: Enforcement Actions

Berthel, Fisher & Company Financial Services, Inc. - Consent Order

Wednesday, November 12, 2003

Categories: Enforcement Actions

Microvision Systems Corporation, Interactive Acquisition Master, Inc., Camry Consulting Services, Inc., Steve Lehner, Michael Hammerschmidt -

Wednesday, November 12, 2003

Categories: Enforcement Actions

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