Enforcement Actions

Date	Type of Order	Subjects of Order
December 6, 2002	Consent Order	American Capital Corporation
November 20, 2002	Order to Suspend Agent Registration	Craig F. Wollenburg SPF Energy, Inc.
November 19, 2002	Cease and Desist Order	U. S. Petroleum, LLC MEA Services
November 1, 2002	Cease and Desist Order	Fegen & Associates Legend Mobile f/k/a PTN Media, Inc. Nicholas A. Fegen Peter C. Klamka
October 30, 2002	Consent Order	Henry Foods, Inc. d/b/a Delimax
October 3, 2002	Cease and Desist Order	Capital Growth Real Estate Partners of Miami, LLC Ross O. Haugen CGF Securities, LLC
October 3, 2002	Cease and Desist Order	American Capital Corporation Ross O. Haugen
October 3, 2002	Cease and Desist Order	MDVIP, Inc. Ross O. Haugen CGF Securities, LLC
September 10, 2002	Cease and Desist Order	Alaron FX Forex Capital Group, LLC John Normanton
September 10, 2002	Cease and Desist Order	Buck TV.Com, Inc. BuckBuilders.com, Inc. BK.com, Inc. MyFreeBingo.com, Inc. Schematic Cash Transactions Network.com, Inc. American Venture Trust Larry E. Hunter Bry Behrmann
August 30, 2002	Stop Order	IAI Growth and Income Fund
August 30, 2002	Stop Order	IAI Growth Fund
August 30, 2002	Stop Order	IAI Emerging Growth Fund
August 30, 2002	Stop Order	IAI Value Fund
August 30, 2002	Stop Order	IAI Regional Fund
August 26, 2002	Cease and Desist Order	Film Fund Capital Corporation St. Clare Film Fund Capital Corporation St. Paul Film Fund Guadalupe Film Co Onesimus Production, Inc. Stephen A. Jones Debbie Cartier
August 21, 2002	Cease and Desist Order	DeliMax
August 21, 2002	Registration Agreement	Ross Owen Haugen
August 19, 2002	Consent Order	Preferred Trust Eugene Zaderaka
August 13, 2002	Proposed Order to Deny	Michael J. Brooks
August 13, 2002	Proposed Order to Deny	Michael J. Brooks
July 30, 2002	Consent Order	Carret Securities, LLC
July 22, 2002	Registration Agreement	Carr Futures
June 14, 2002	Order for Civil Penalty	American Investment Services, Inc.
June 14, 2002	Proposed Order to Revoke Registration	American Investment Services, Inc.
June 11, 2002	Vacate CDO	Preferred Trust & Management, Ltd. Haugen, Janene
May 30, 2002	Order for Rescission	American Investment Services, Inc.
May 23, 2002	Cease and Desist Order	Telecom Action Entertainment William Marlin & Co. Marlin, William B. Davis, William Anthony, Dave
May 13, 2002	Consent Order	L.H. Ross & Co., Inc.
April 2, 2002	Consent Order	Engine Electronics
March 21, 2002	Consent Order	First Montauk Securities Corp.
March 14, 2002	Order for Civil Penalty	Nelson, Shari
February 26, 2002	Consent Order	United Methodist Development Fund
February 15, 2002	Consent Order	Nelson, Jeff
February 5, 2002	Order for Civil Penalty	Shokar, Jasmer a/k/a Jimmy Shokar
February 5, 2002	Order for Civil Penalty	Once Again Resale for Men & Women Hung, Angel
February 5, 2002	Order for Civil Penalty	Shokar, Surjit S. a/k/a Steve Shokar
February 5, 2002	Order for Civil Penalty	Shokar, Gurpal S.
January 3, 2002	Consent Order	GunnAllen Financial, Inc.
January 2, 2002	Cease and Desist Order	Highbury Capital, Inc. Inner Technologies Corp Howard, Scott N. Hoyt, Jeffrey C. Stogner, Ron

Archived Enforcement Orders
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