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2008 |
2007 |
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2006 |
2005 |
- Stanley Michael Shelley, and J.J.B. Hilliard, W.L. Lyons, Inc, November 21, 2006
- J.P. Michael Company and Joyce Dutton September 18, 2006
- Donald Beverly September 18, 2006
- Barry R. Stokes October 16, 2006
- Deutsche Bank Securities, Inc. June 26, 2006
- Edward D. Jones May 25, 2006
- Edward Martin April 25, 2006
- Westford Energy March 27, 2006
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2004 |
2003 |
- InvestIN Securities Consent Order December 12, 2004
- Patrick N. Doyle September 30, 2004
- Tykisha Harrison - September 2, 2004
- Adrian Allie Bond - September 2, 2004
- Coastal Discount Stockbrokers - August 09, 2004
- Thompson Davis & Company and Mathew Henry Daniel July 29, 2004
- Russell Hunt - July 9, 2004
- Upper Cumberland Media Group - June 04, 2004
- Phymed April 26, 2004
- Heartland Holdings April 22, 2004
- Pryor Oil, Inc. - April 2, 2004
- Walter Eugene Phillips, Jr. - March 11, 2004
- Continental Broker-Dealer Corp. - March 10, 2004
- River Front Capital, L.L.C. - February 19, 2004
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- Ferguson Financial December 29, 2003
- Dynetech Corp. - December 9, 2003
- USBancorp Piper Jaffray November 06, 2003
- Lehman October 31, 2003
- Morgan Stanley October 30, 2003
- CitiGroup Global Markets October 28, 2003
- JP Morgan Securities October 16, 2003
- Exclusive Safe Drivers' Membership Reward System, Inc. - October 16, 2003
- UBS Warburg, L.L.C. - September 29, 2003
- Bear, Stearns, & Co., Inc. - September 29, 2003
- Goldman, Sachs, & Co. - September 3, 2003
- James Henry Morton - August 29, 2003
- Credit Suisse First Boston, L.L.C. - August 12, 2003
- Cuso Equities, Inc. (a.k.a. Cue) - June 27, 2003
- ACI, Inc. (#2) - June 18, 2003
- ACI, Inc. (#1) - June 18, 2003
- MONY Securities Corporation & Louis Dewitt Hamric - June 3, 2003
- B & B Worm Farm, Inc. - June 3, 2003
- James D. Horn (d.b.a. Quality Financial Concepts) - May 20, 2003
- Advanced Asset Trading, Inc. - April 29, 2003
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- Merrill Lynch, Pierce, Fenner, & Smith, Inc. - October 9, 2002
- Sandra Katherine Sandberg - April 26, 2002
- Ohio Kentucky Oil Corporation - March 7, 2002
- Southwest Trading - February 8, 2002
- Roscoe F. Stephens, III - February 8, 2002
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- Legends Resorts, Inc. - October 25, 2000
- Smith, Brown, & Groover, Inc. - October 11, 2000
- Westminster Securities Corporation - September 1, 2000
- Terra Nova Trading, L.L.C. - May 22, 2000
- Pacific Cortez Securities, Inc. (f.k.a. Lajolla Capital Corp.) - May 4, 2000
- D. H. Blair & Co., Inc. - April 14, 2000
- United States Profit Corporation - February 5, 2000
- First Financial Planners, Inc. - February 4, 2000
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- Carlin Equities Corporation - December 20, 1999
- Elizabeth (Betsy) Kathryn Madden - September 8, 1999
- Van Buren Securities, L.L.C. - August 12, 1999
- Glaser Capital Corporation - June 1, 1999
- Merit Capital Associates, Inc. - March 26, 1999
- Constitution Capital Corporation - March 11, 1999
- John Lawson Greer, III - March 4, 1999
- D. H. Blair & Co., Inc. - February 9, 1999
- First Financial Investment Securities, Inc. - January 21, 1999
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