Enforcement Actions

Date	Type of Order	Subjects of Order
December 17, 2003	Consent Order	Preferred Trust and Management, LTD Galen Marsh
December 17, 2003	Consent Order	Preferred Trust and Management, LTD Donald Marsch
December 16, 2003	Consent Order	CGF Securities, LLC Ross Owen Haugen
December 15, 2003	Consent Order	William L. Toft
December 9, 2003	Consent Order	Bear, Stearns & Co. Inc.
December 3, 2003	Consent Order	Preferred Trust and Management, LTD Gerald Henry
December 3, 2003	Consent Order	Preferred Trust and Management, LTD Brian Henry
November 21, 2003	Consent Order	Citigroup Global Markets Inc. f/k/a Salomon Smith Barney Inc.
November 20, 2003	Consent Order	Craig F. Wollenburg SPF Energy, Inc.
November 20, 2003	Consent Order	Preferred Trust and Management, LTD Mitchell Keiser
November 12, 2003	Consent Order	Berthel, Fisher & Company Financial Services, Inc.
November 12, 2003	Order to Release Michael Hammerschmidt from the Ce	Microvision Systems Corporation Interactive Acquisition Master, Inc. Camry Consulting Services, Inc. Steve Lehner Michael Hammerschmidt
October 21, 2003	Administrative Consent Order	J. P. Morgan Securities, Inc.
October 20, 2003	Administrative Consent Order	U.S. Bancorp Piper Jaffray Inc.
October 20, 2003	Consent Order	Berthel, Fisher & Company Financial Services, Inc. Lawrence W. Warren
October 20, 2003	Consent Order	Preferred Trust and Management, LTD Kris & Tana Thorfinnson
October 10, 2003	Administrative Consent Order	UBS Warburg LLC UBS PaineWebber Inc.
October 6, 2003	Consent Order	Debra Ann Lund
October 1, 2003	Cease and Desist Order	L. H. Ross & Co., Inc. Mintz & Fraade, P.C. Michael Assenza Kelly Chance Shannon Norris Dean Baker
October 1, 2003	Order for Notice of Civil Penalty	Possible Technologies, Inc. A/k/A The Right Reason Treacy Duerfeld
September 22, 2003	Administrative Order	Lehman Brothers Inc.
September 18, 2003	Consent Order	Goldman, Sachs & Co.
September 16, 2003	Consent Order	Kent Johanneson
September 12, 2003	Asministrative Consent Order	UBS Warburg LLC UBS PaineWebber, Inc.
September 11, 2003	Administrative Consent Order	Morgan Stanley & Co. Incorporated
September 11, 2003	Cease and Desist Order	Grainline.com, Inc. Scott D. Olson Kent Sortland
September 10, 2003	Order to Vacate "Order for Summary Suspension of	CGF Securities, LLC
September 8, 2003	Order for Civil Penalty	David C. Gess
September 4, 2003	Administrative Consent Order	Credit Suisse First Boston LLC f/k/a Credit Suisse First Boston Corporation
September 2, 2003	Order of Summary Suspension of the Dealer	CGF Securities, LLC
August 27, 2003	Consent Order	Preferred Trust and Management, LTD Gary L. Bryans
August 11, 2003	Order for Summary of Suspension of Agent Registrat	David C. Gess
July 28, 2003	Consent Order	Preferred Trust and Management, LTD Troy Borud
July 28, 2003	Desist and Refrain Order	Dulon, L.L.P.
July 18, 2003	Consent Order	Edward D. Jones & Co., L.P. DeAnne Gierke
July 1, 2003	Order to Vacate Cease and Desist	Preferred Trust and Management, LTD Jess Welstad
June 19, 2003	Consent Order	Preferred Trust and Management, LTD Gerald Haskins
June 4, 2003	Order to Release Michael Hupka from the C&D	Preferred Trust and Management, LTD. Michael Hupka
June 4, 2003	Order to Vacate Cease and Desist	Preferred Trust and Management, LTD. Rodney J. Duncklee
June 3, 2003	Consent Order	Preferred Trust and Management, LTD. Marlene Hupka
May 28, 2003	Order to Vacate Cease and Desist	Preferred Trust and Management, LTD. James I Miller, Jr.
May 28, 2003	Order to Vacate Ceast and Desist	Preferred Trust and Management, LTD. Keith Pierson
May 21, 2003	Cease and Desist Order	Select Electronic Devices, Inc. VOIP Communications, Inc. Kent Johanneson a/k/a W. K. Johanneson David Ludwick
May 19, 2003	Cease and Desist Order	Camry Investment Services, Inc. Nathanson Investment Trust Account Colin Nathanson James Armstrong Sheila R. Green
May 19, 2003	Cease and Desist Order	Leafhead Consultants, Inc. Media Info Fund, LTD Arthur Martiney
May 12, 2003	Consent Order	Robert Woodward
May 12, 2003	Consent Order	Preferred Trust and Management, Ltd. Steve Tengesdal
May 12, 2003	Desist and Refrain Order	American Dream Systems, Inc. Coupon Connection of America, Inc.
April 24, 2003	Consent Agreement	US Petroleum, LLC
April 15, 2003	Cease and Desist Order	Alliance Care, Inc. CGF Securities, LLC Ross Owen Haugen
March 19, 2003	Cease and Desist Order	Seed International Limited Ocean International Marketing Sam Howard Hakki Kupper
March 19, 2003	Cease and Desist Order	Golden Eagle Oil James McDaniel
March 5, 2003	Consent Order	Ross Owen Haugen
January 23, 2003	Settlement Agreement	MDVIP, Inc.
January 22, 2003	Consent Order	Capital Growth Real Estate Partners of Miami, LLC CGF Securities, LLC Ross Owen Haugen
January 22, 2003	Consent Order	CGF Securities, LLC Ross Owen Haugen
January 20, 2003	Cease and Desist Order	EPCOM, Ltd. Eldon P. Anderson

Archived Enforcement Orders
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