SECURITIES
Administrative Actions
2004
Christopher J. Borgo
March 31, 2004
Marc S. Kimmel
March 31, 2004
Orbitex Funds Distributor, Inc.
March 30, 2004
Vincent Joseph Puma
March 30, 2004
Christian Johnson
March 26, 2004
Richard P. Hveem
March 26, 2004
Brian F. Ferraioli
March 18, 2004
Bruce E. Carlson
March 18, 2004
Trade Partners, Inc.
a/k/a TPI
March 16, 2004
Comarco Management
March 15, 2004
High Tech Financial Products
a/k/a EBD Consulting, Inc.
March 15, 2004
James A. Bayer
March 15, 2004
MFS Group
March 15, 2004
RAM Energy, Inc.
March 15, 2004
Shawn Elliot Russell
March 15, 2004
Millennium Associates
Wall Street Direct, Inc.
Mark S. Perlmutter
George F. Holmes
Peter Hare
March 11, 2004
John J. Derrico
March 11, 2004
Citigroup Global Markets Inc.
f/k/a Salomon Smith Barney Inc.
March 10, 2004
Citigroup Global Markets Inc.
f/k/a Salomon Smith Barney Inc.
March 10, 2004
Citigroup Global Markets Inc.
f/k/a Salomon Smith Barney Inc.
March 10, 2004
Dean D. Giasi
March 10, 2004
Thomas F. Lagana
March 9, 2004
Prudential Financial Services
Transunion Credit Corporation
March 8, 2004
David S. Cacchione
March 8, 2004
Thomas H. Thorp
March 4, 2004
William E. Hopkins & Associates, Inc.
March 2, 2004
Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader