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Securities

ADMINISTRATIVE ACTIONS NOVEMBER 2004




Janney Montgomery Scott, LLC PDF
November 30, 2004

Richard A. Saitta PDF
November 30, 2004

Sandpoint Capital, LLC PDF
November 24, 2004

James E. Upshaw, Sr.
Upshaw and Associates, LLC
 PDF
November 16, 2004

Curtis Aviation Services, Inc.
Michael H. Curtis
 PDF
November 12, 2004

DBSI Securities Corporation PDF
November 9, 2004

Christian Dream Builders Financial Planning, Inc.
Kenneth D. Bivens
 PDF
November 8, 2004

W. Craig and Company
Auctions for Income
Elijah Rubin
Dave Espino
 PDF
November 3, 2004

Frost Brokerage Services, Inc. PDF
November 3, 2004

Nicholas S. Savva PDF
November 3, 2004

Scott Mikros
Mikros Economics Hedge Fund, LLC
Risk Management International, LLC
 PDF
November 3, 2004

William H. Pluchel PDF
November 3, 2004


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The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.


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