Enforcement Actions

Date	Type of Order	Subjects of Order
December 6, 2000	Cease and Desist Order	Schulz, Arnold James (Jim) Schulz, Todd James
November 21, 2000	Civil Penalty	Rooker, Todd
November 21, 2000	Civil Penalty	New Life Technologies, Inc.
November 21, 2000	Civil Penalty	Bierman, Mike
November 21, 2000	Civil Penalty	UPA, Inc.
November 9, 2000	Civil Penalty	US Bancorp Piper Jaffray, Inc. Birmingham, Christopher
November 6, 2000	Civil Penalty	New England International Surety
November 3, 2000	Cease and Desist Order	Grupo Inverso Rio Del Sol Enright, Paul Sparkman, Ronald Skow, Kevin Mark
October 24, 2000	Cease and Desist Order	The Tax People Advantage International Marketing Renaissance Designer Gallery Products, Inc. Christianson, Lee Christianson, Phillis Cooper, Michael C. Koepke, Kori Martin, Larry R. MacNaught, John Smith, Roger E.
October 19, 2000	Vacate CDO	Josephthal & Co., Inc. Oliver, James Gus
October 6, 2000	Cease and Desist Order	New Life Technologies, Inc. Albemarle Investments, Limited UPA, Inc. Bierman, Mike Rooker, Todd Sanders, Patrick Alan Schulman, Stanley
August 24, 2000	Civil Penalty	Hausauer, Dirk P.
July 31, 2000	Consent Order	Aguda Financial Services, Inc. Aguda, Joe
July 31, 2000	Consent Order	Brown, Craig
July 21, 2000	Consent Order	Ragen MacKenzie Investment Services, Inc. Lawrence, Richard Wimer, Philip
July 11, 2000	Cease and Desist Order	Private Gifting Sharing Equally For Kids, Inc. Bertsch, Randy Holzer, Betty Reimche, Daniel Wahl, Betty Lamm, Carl Kotchian, Raymond Stene, Robin Keller, Kristy Keller, Gered
July 11, 2000	Vacate CDO	Phoenix Telecom, LLC Trinity Financial Group
July 10, 2000	Consent Order	Cerullo, Gerard
June 16, 2000	Consent Order	Baxter, Banks & Smith McDermott, Francis M.
May 25, 2000	Cease and Desist Order	Bobwhite Company White, Bob
May 24, 2000	Consent Order	Torrey Pines Securities, Inc. Leason, Harvey Glen
April 26, 2000	Cease and Desist Order	The Institute of Learning Swift Advisory & Consulting, Inc. The Institute of Learning and Biblical Studies Reiner, Elmer
April 26, 2000	Civil Penalty	Emily Water & Beverage Co., Inc.
April 26, 2000	Civil Penalty	Aguda Financial Services, Inc. Aguda, Joe
April 26, 2000	Civil Penalty	Brown, Craig
April 25, 2000	Cease and Desist Order	PrivateAssets.com Wallace, Rick
March 31, 2000	Cease and Desist Order	Phoenix Telecom, LLC Trinity Financial Group
March 9, 2000	Consent Agreement	Linsco Private Ledger Corp.
March 3, 2000	Cease and Desist Order	Jorve, Wayne
March 3, 2000	Cease and Desist Order	Josephthal & Co., Inc. Oliver, James Gus
March 3, 2000	Consent Order	Peregrine Financials & Securities, Inc. Jage, Steven Patrick
March 1, 2000	Cease and Desist Order	Educate America Resource Network Financial Planning Consultants Luckow, Gary E. Grant, Scott W.
March 1, 2000	Civil Penalty	Ebele, William
February 28, 2000	Consent Agreement	Charles Schwab & Co., Inc.
February 28, 2000	Consent Agreement	Copeland Equities, Inc.
February 28, 2000	Desist and Refrain Order	Emily Water & Beverage Co., Inc.
February 16, 2000	Cease and Desist Order	New England International Surety Aguda Financial Services, Inc. Brown, Craig Aguda, Joe
January 20, 2000	Consent Order	Copen, Kenneth Lynn
January 20, 2000	Order to Revoke Registration	Sunpoint Securities, Inc.

Archived Enforcement Orders
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