Enforcement Actions

Date	Type of Order	Subjects of Order
December 21, 1999	Civil Penalty	Baxter, Banks & Smith Shklovsky, Mikhail S. Feldman, Oleg A. Grammatica, Maurizio V. McDermott, Francis M. Ruggiero, Kevin J.
December 21, 1999	Consent Order	Debt Management Club
December 10, 1999	Cease and Desist Order	ESI Rogers, Ralph W., III
December 1, 1999	Suspension - Proposed Order to Revoke	Sunpoint Securities, Inc.
November 29, 1999	Cease and Desist Order	Friends N Freedom Davis, Ruth
November 29, 1999	Cease and Desist Order	Friends N Freedom Hansen, Vernon Hansen, Darlene
November 29, 1999	Cease and Desist Order	Friends N Freedom Davis, Norma
November 29, 1999	Cease and Desist Order	Friends N Freedom Hansen, Scott Hansen, Becky
November 29, 1999	Cease and Desist Order	Friends N Freedom Kirschman, Rodney Kirschman, Judy
November 29, 1999	Default Order	Friends N Freedom Zenker, LaVerne Zenker, Kay
November 1, 1999	Administrative Complaint	Baxter, Banks & Smith Shklovsky, Mikhail S. Feldman, Oleg A. McDermott, Francis M. Grammatica, Maurizio V. Ruggiero, Kevin J.
October 19, 1999	Denial of Application	Fordham Financial Management, Inc.
October 19, 1999	Proposed Order to Deny Application	Attain Direct, Inc. All-Tech Investment Group, Inc.
October 19, 1999	Vacate Order	Samuelson, Edward Oliver
September 16, 1999	Consent Order	Leuthold Funds, Inc.
September 3, 1999	Cease and Desist Order	Friends N Freedom Zenker, LaVerne Zenker, Kay
August 24, 1999	Civil Penalty	Integrowth Financial Group
August 24, 1999	Civil Penalty	Hiltbrand, Steve
August 24, 1999	Civil Penalty	Alliance Trust Wilkinson, Clifton
August 24, 1999	Consent Order	Bisys Brokerage Services, Inc.
August 20, 1999	Civil Penalty	Copen, Kenneth Lynn
August 16, 1999	Cease and Desist Order	Baxter, Banks & Smith Shklovsky, Michael Feldman, Alec
July 29, 1999	Registration Agreement	Weeks, Edward
July 23, 1999	Cease and Desist Order	Alliance Trust Integrowth Financial Group Wilkinson, Clifton Hiltbrand, Steve
July 22, 1999	Cease and Desist Order	Popular Link Cheng, Jeff
July 22, 1999	Proposed Order to Deny Application	Fordham Financial Management, Inc. Marchione, Frank Patrick
July 19, 1999	Consent Order	Darwin, James Newton, II
July 7, 1999	Cease and Desist Order	Debt Management Club Fair Tax Leeds, Renesa
July 7, 1999	Civil Penalty	Santoro, William
July 7, 1999	Civil Penalty	Santoro's Gourmet Foods, Inc.
July 7, 1999	Consent Order	R. Seelaus & Co., Inc.
July 7, 1999	Default Order	New World International, A Citizens Group Bjur, Bert Thompson, Charles E.
June 28, 1999	Cease and Desist Order	Alliance Trust Wilkinson, Clifton
June 28, 1999	Consent Order	International Joint Ventures Association AgKota Holdings, Inc. Preferred Home Loans Founder's Club, Inc. Nitschke, Norman
June 28, 1999	Consent Order	International Joint Ventures Association AgKota Holdings, Inc. Preferred Home Loans Founder's Club, Inc. Moos, Duane
June 28, 1999	Consent Order	International Joint Ventures Association AgKota Holdings, Inc. Preferred Home Loans Founder's Club, Inc. Ebele, William
June 28, 1999	Default Order	International Joint Ventures Association AgKota Holdings, Inc. Preferred Home Loans Founder's Club, Inc. Swartzendruber, Verlin
June 25, 1999	Civil Penalty	Saroole, Kourosh
June 25, 1999	Civil Penalty	Papa Holdings, Inc.
June 25, 1999	Civil Penalty	The Ponzu Companies, Inc.
June 25, 1999	Civil Penalty	Papa, Jonathan C.
June 25, 1999	Civil Penalty	Anderson, Thomas L.
June 25, 1999	Civil Penalty	AMS Financial Corporation
June 25, 1999	Civil Penalty	Papa, Ramon C., III
June 25, 1999	Civil Penalty	Naughton, David J.
June 25, 1999	Civil Penalty	Halstead, Allen
June 25, 1999	Civil Penalty	Beneake, David M.
June 8, 1999	Consent Agreement	Kerlin Securities, Inc.
May 28, 1999	Consent Order	Nori, Hennion, Walsh, Inc. Ponte, Jonathan N.
May 28, 1999	Consent Order	International Joint Ventures Association AgKota Holdings, Inc. Preferred Home Loans Founder's Club, Inc. Nitschke, Terry
May 24, 1999	Consent Agreement	Amerivet Securities, Inc.
May 10, 1999	Cease and Desist Order	AMS Financial Corporation Halstead, Allen
April 29, 1999	Consent Order	Equity Securities Investments, Inc.
April 26, 1999	Cease and Desist Order	The Station Corporation Wayne Southam Tonya Southam
April 26, 1999	Civil Penalty	Benson, Denis M.
April 26, 1999	Civil Penalty	Internet Casino Sports Gaming
April 16, 1999	Civil Penalty	First Fidelity Financial Corporation
April 16, 1999	Civil Penalty	Follick, Bruce M.
March 31, 1999	Cease and Desist Order	California Laser Company
March 29, 1999	Cease and Desist Order	Santoro's Gourmet Foods, Inc. Santoro, William G.
March 22, 1999	Cease and Desist Order	First Fidelity Financial Corporation Newport Financial Corporation Exchange.Online, Inc. Follick, Bruce M.
March 17, 1999	Cease and Desist Order	Microvision Systems Corporation Interactive Acquisition Camry Consulting Services, Inc. Millennium Networks, Inc. Hammerschmidt, Michael Lehner, Steve
March 16, 1999	Registration Agreement	First Financial Equity Corporation
March 8, 1999	Civil Penalty	Low Priced Stock Wealth
March 8, 1999	Civil Penalty	Johnson, David
March 4, 1999	Civil Penalty	McEnroe, Mike T.
March 4, 1999	Civil Penalty	Kaizen International Consulting Corporation
March 1, 1999	Cease and Desist Order	Red River Dispatch, Inc. Johnson, Billy
February 26, 1999	Consent Order	American Investment Services, Inc. Bjork, David R.
February 9, 1999	Civil Penalty	Amerivet Securities, Inc.
January 29, 1999	Cease and Desist Order	Low Priced Stock Wealth Johnson, David
January 20, 1999	Cease and Desist Order	Bjur, Bert
January 20, 1999	Cease and Desist Order	New World International, A Citizens Group Thompson, Charles E.
January 20, 1999	Civil Penalty	Nichter, Jerry
January 20, 1999	Civil Penalty	Finkelstein, Lon
January 20, 1999	Civil Penalty	Public Communication Services, Inc.
January 20, 1999	Civil Penalty	Magnum Petroleum
January 20, 1999	Civil Penalty	Malkin, Sharon
January 18, 1999	Consent Order	Papa Holdings, Inc. The Ponzu Companies, Inc. Papa, Jonathan C. Papa, Ramon C., III Anderson, Thomas L. Beneakem, David M. Saroole, Kourosh Naughton, David J.
January 4, 1999	Consent Order	Pentad Securities, Inc. True, Warren B.

Archived Enforcement Orders
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