| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Howe, Ken |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Armstrong, Gene
Armstrong, Pat |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Couper, Mark |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Sorenson, Soren |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Wurgler, Kyle |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Van Bockel, Raymond |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Snowden, Brian |
| November 27, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Maaske, Eric |
| November 27, 2001 |
Vacate CDO and Penalty Order |
Preferred Trust & Management, Ltd.
Martin, David
Martin, Kay |
| November 27, 2001 |
Vacate CDO and Penalty Order |
Preferred Trust & Management, Ltd.
Ryer, Kenneth |
| November 19, 2001 |
Cease and Desist Order |
Learn2Distribution.com, Inc.
Correia, Sean |
| November 14, 2001 |
Order to Revoke Registration |
Marion Bass Securities Corporation |
| November 12, 2001 |
Proposed Order to Deny Application |
L. H. Ross & Co., Inc. |
| November 2, 2001 |
Consent Order |
R. Lang Construction, Inc. |
| October 24, 2001 |
Consent Order |
BrokerageAmerica, Inc. |
| September 27, 2001 |
Consent Order |
Viper Acquisition, LLC |
| September 26, 2001 |
Consent Order |
Riverside RV Rentals, Inc. |
| September 26, 2001 |
Consent Order |
Effective Sport Nutrition Corporation |
| September 26, 2001 |
Consent Order |
Dig-It Underground, Inc. |
| September 26, 2001 |
Consent Order |
Dakota Imaging, Inc. |
| September 26, 2001 |
Consent Order |
ADM Enterprises, Inc. |
| August 28, 2001 |
Cease and Desist Order |
Infinity Mining Venture, Inc.
Maxum Investors Group
Coffman, Gerald
Shokar, Jasmer (Jimmy)
Shokar, Surjit S. (Steve)
Lawrence, Andrew W. |
| August 28, 2001 |
Cease and Desist Order |
Alberta Diamondfields, Inc.
Maxum Investors Group
Once Again Resale for Men & Women
Shokar, Gerpal S.
Hung, Angel
Gramlich, David K. |
| August 28, 2001 |
Consent Order |
Valley Honey Company, LLC
Kirschman, Rodney
Anderson, Rodney |
| August 28, 2001 |
Vacate CDO |
Advanced Technology Feasibility Group, LLC
Anderson, Bruce W.
Anderson, Rodney |
| August 22, 2001 |
Consent Order |
OptionsXpress |
| August 6, 2001 |
Civil Penalty |
Preferred Trust & Management, Ltd.
Velazques, Tracy |
| August 6, 2001 |
Civil Penalty |
Preferred Trust & Management, Ltd.
Martin, David
Martin, Kay |
| August 6, 2001 |
Civil Penalty |
Preferred Trust & Management, Ltd.
Ryer, Kenneth |
| August 5, 2001 |
Suspension--Proposed Order to Revoke |
Marion Bass Securities Corporation |
| July 31, 2001 |
Cease and Desist Order |
Advanced Technology Feasibility Group, LLC
Anderson, Bruce W.
Anderson, Rodney |
| July 31, 2001 |
Cease and Desist Order |
Valley Honey Company, LLC
Kirschman, Rodney
Anderson, Rodney |
| July 23, 2001 |
Cease and Desist Order |
BrokerageAmerica, Inc. |
| July 12, 2001 |
Cease and Desist Order |
Provision, Inc.
Provision, LLC
Templeton, Randy
Betting, David
Betting, Darla |
| June 28, 2001 |
Civil Penalty |
World Network Holdings
American Global Equity Services
Americans National Bank
Americans National Bank Trust
Anguilla National Building Society, Ltd.
Bright Futures Management Trust
Central Business Processing
First Americans Trust
First Mercantile Bank, Ltd.
Golden Eagle Services
House of Free Enterprise
Mali-Suisse Mining, Ltd.
Professional Sales Limited Sterling Communications
Terra Libra Contractual Company
Tohar, Ltd.
United Digital Broadcasting Company a/k/a AsOne Corporation
Cook, Craig F.
Harmon, Shirley
Plott, Harry W.
Rodgers, Mark |
| June 22, 2001 |
Consent Order |
Accord Insurance Co, Ltd.
Carr, Graham
Wingham, Leslie
Wharram, Dominic |
| June 4, 2001 |
Desist and Refrain Order |
K-Ram Industries
Pagan, Robert |
| May 25, 2001 |
Consent Order |
Grupo Inverso Rio Del Sol
Sparkman, Ronald |
| May 16, 2001 |
Consent Order |
Preferred Trust & Management, Ltd.
Morey, Michael |
| May 15, 2001 |
Agreement |
Bison Capital, Inc.
Medhus, Robert
Gugisberg, Peter
Fay, Brad
Larson, Christopher
Klubec, Christine |
| May 15, 2001 |
Vacate CDO |
Preferred Trust & Management, Ltd.
Renfandt, Scott |
| May 14, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Tri-West Investment Club
Slaubaugh, Larry Eugene |
| May 14, 2001 |
Cease and Desist Order |
Tri-West Investment Club
Hiller, Wesley Leroy |
| May 8, 2001 |
Cease and Desist Order |
Trinity Financial Group, LLC |
| May 8, 2001 |
Consent Order |
Preferred Trust & Management, Ltd.
Elberg, Bev |
| May 8, 2001 |
Consent Order |
US Bancorp Piper Jaffray, Inc.
Birmingham, Christopher |
| May 8, 2001 |
Consent Order |
Preferred Trust & Management, Ltd.
Schatz, Jackie |
| April 24, 2001 |
Cease and Desist Order |
Accord Insurance Co, Ltd.
Carr, Graham
Wingham, Leslie
Wharram, Dominic |
| April 24, 2001 |
Cease and Desist Order |
World Network Holdings
American Global Equity Services
Americans National Bank
Americans National Bank Trust
Anguilla National Building Society, Ltd.
Bright Futures Management Trust
Central Business Processing
First Americans Trust
First Mercantile Bank, Ltd.
Golden Eagle Services
House of Free Enterprise
Mali-Suisse Mining, Ltd.
Professional Sales Limited Sterling Communications
Terra Libra Contractual Company
Tohar, Ltd.
United Digital Broadcasting Company a/k/a AsOne Corporation
Cook, Craig F.
Harmon, Shirley
Plott, Harry W.
Rodgers, Mark |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Duncklee, Rodney J. |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Armstrong, Gene
Armstrong, Pat |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Borud, Larry |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Borud, Leon |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Wurgler, Kyle |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Bryans, Gary |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Skarphol, Dennis |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Dostert, Mark |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Marsh, Galen |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Couper, Mark |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Solberg, Richard L. |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Zaderaka, Eugene |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Velazques, Tracy |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Hupka, Michael
Hupka, Marlene |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Bryans, Randy |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Skiftun, Larry |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Stafford, Ron |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Welstad, Jess |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Henry, Brian |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Haugen, Janene |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Borud, Troy |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Tengesdal, Steve |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Miller, James I., Jr. |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Peterson, Mark |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Henry, Gerald |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Elberg, Bev |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Kaut, Anthony |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Haskins, Todd |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Van Bockel, Raymond |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Howe, Ken |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Keiser, Mitchell |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Maaske, Eric |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Marsh, Donald |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Martin, David
Martin, Kay |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Morey, Michael |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Pierson, Keith |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Renfandt, Scott |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Ryer, Kenneth |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Schatz, Jackie |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Snowden, Brian |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Sorensen, Soren |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Thorfinnson, Kris
Thorfinnson, Tana |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Haskins, Gerald |
| April 10, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Martin, Kevin |
| March 12, 2001 |
Consent Order |
Osland, Michael J. |
| March 5, 2001 |
Cease and Desist Order |
Chase Investments, Ltd.
Chase Investments of North America
Wilson, Al |
| March 5, 2001 |
Consent Order |
Archambault, Charles |
| February 21, 2001 |
Consent Order |
Hausauer, Dirk P. |
| February 12, 2001 |
Consent Order |
Jorve, Wayne |
| January 30, 2001 |
Agent Suspension - Proposed Revocation |
Schulz, Arnold James (Jim) |
| January 30, 2001 |
Agent Suspension - Proposed Revocation |
Schulz, Todd James |
| January 30, 2001 |
Cease and Desist Order |
Star Search 2000, Inc.
$1,000000 Talent Search, Inc.
Talent Search 2000 |
| January 25, 2001 |
Cease and Desist Order |
Global Prosperity Group
Global Leadership Council
The Institute of Global Prosperity
Andersen, Dan
Struckman, David
LaMantia, Zo |
| January 25, 2001 |
Consent Agreement |
Arizona Capital Group, Inc.
Pittman, Samuel |
| January 9, 2001 |
Cease and Desist Order |
Preferred Trust & Management, Ltd.
Tactical Investments, Ltd.
Nassau Investors Group, Ltd.
Concord Investments, Ltd.
Ideal Group
1M Group
F & E Consulting
Keiser, Frederick W., Jr.
Keiser, Etoile |
| January 4, 2001 |
Cease and Desist Order |
Keiser, Frederick W., Jr. |
|
