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Lester Westgard - Consent Agreement

Monday, October 23, 2006

Categories: Enforcement Actions

TYLER NEW PRESIDENT-ELECT OF NASAA

Wednesday, October 11, 2006

ACAP Financial, Inc., Donald Fisher - Consent Agreement

Tuesday, October 10, 2006

Categories: Enforcement Actions

Lincoln Financial Advisors Corp. - Consent Agreement

Monday, October 9, 2006

Categories: Enforcement Actions

SECURITIES COMMISSIONER APPLAUDS ENACTMENT OF LEGISLATION TO PROTECT MILITARY PERSONNEL FROM UNSCRUPULOUS SALES OF INSURANCE AND INVESTMENT PRODUCTS

Tuesday, October 3, 2006

MAD ABOUT MONEY PERFORMANCES TO REACH 1700 ND STUDENTS

Thursday, September 14, 2006

Investment Centers of America, Inc., Larry A. Fust - Consent Agreement

Thursday, September 14, 2006

Categories: Enforcement Actions

Michael L. Puklich - Consent Order

Monday, September 11, 2006

Categories: Enforcement Actions

UNREGISTERED PROMISSORY NOTES HALTED

Wednesday, September 6, 2006

Capital Growth Financial, LLC, Ross O. Haugen -

Wednesday, September 6, 2006

Categories: Enforcement Actions

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