Enforcement Actions  
 
By Date | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 |
By Case Name | A | B | C | D | E | F | G | H | I | J | K | L | M | N | O | P | Q | R | S | T | U | V | W | X | Y | Z |
   
Search:
E*Trade Securities, LLC [ARS] 
  Consent Order    Filed: 12/21/2012
E.J. Sterling, LLC and Mastropiero, Nicholas 
  Notice of Service on the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing    Filed: 10/2/2015
  Agreement     Filed: 11/24/2015
  Final Order    Filed: 11/24/2015
Earthly Mineral Solutions, Inc., Natural Mineral Processing Company, Roy D. Higgs, Frank L. Sch 
  Notice of Service of the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/7/2006
  Order Setting Hearing    Filed: 12/15/2006
  Respondents' Application to Extend Hearing to allow Adequate Discovery, Opposition to Recommendation and Request the Same to be Vacated    Filed: 12/18/2006
  Respondents' Request for Production    Filed: 12/26/2006
  Respondents' Second Request for Extending Hearing to Allow Adequate Discovery    Filed: 1/26/2007
  Petition for Permanent Injunction and other Equitable Relief    Filed: 3/16/2007
  Order of Consolidation of CJ-07-2415 to CJ-04-6295    Filed: 3/16/2007
  Petition for Permanent Injunction and other Equitable Relief    Filed: 3/16/2007
  Order of Consolidation with CJ-04-6295    Filed: 3/16/2007
  Entry of Appearance [Kirk D. Fredrickson]    Filed: 4/2/2007
  Defendants' Answer    Filed: 4/23/2007
  Final Order, Judgment and Permanent Injunction [Heilaman and American Asset Mgmt. Co.]    Filed: 11/13/2007
  Stipulation and Consent to Final Order [Heilaman and American Asset Mgmt. Co.]    Filed: 11/13/2007
  Petition for Permanent Injunction and other Equitable Relief against Monarch Visual Solutions, Inc. and Mark I. Ruttenberg [CJ-08-6116]    Filed: 7/7/2008
Educational Wealth Builders and Swainson Hawke 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 5/10/2005
  Order to Cease and Desist    Filed: 7/11/2005
EM Business Connections and MP Executive Solutions and Grey Bryan Lynn 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 7/25/2014
Page 1 of 4   Page 2 >>