Enforcement Actions

Date	Type of Order	Subjects of Order
December 21, 2004	Cease and Desist Order	Impact Industries International, LLC Financial Planning Services, Inc. Bruce Anderson Rodney Kirschmann
December 21, 2004	Cease and Desist Order	IRAX International, LLC Financial Planning Services, Inc. Bruce Anderson Rodney Kirschmann
December 21, 2004	Order to Vacate Cease and Desist Order	L. H. Ross & Co., Inc. Mintz & Fraade, P.C. Michael Assenza Kelly Chance Shannon Norris Dean Baker
December 16, 2004	Agreement	R. T. Jones Capital Equities, Inc. Frank S. Ladner
December 15, 2004	Consent Agreement	Huntleigh Securities Corporation
December 8, 2004	Consent Order	Drew A. Likness
November 23, 2004	Order for and Notice of Civil Penalty	Investment Advisory Services Thomas H. Marsden
October 25, 2004	Consent Order	Piper Jaffray & Co. Jason Millner
October 13, 2004	Consent Order	Piper Jaffray & Co.
September 24, 2004	Consent Order	Delta Trust Investments, Inc. Chad H. Carlson
September 20, 2004	Consent Order	L. H. Ross & Co., Inc. Mintz & Fraade, P.C. Michael Assenza Kelly Chance Shannon Norris Dean Baker
September 16, 2004	Second Consent Order	Charles Archambault
August 30, 2004	Cease and Desist Order	Global eScience Corp. Virgil Hentz
August 13, 2004	Order to Summarily Suspend the Agent and Investmen	Ross Owen Haugen
August 12, 2004	Consent Order	InterSecurities, Inc. Richard Colling
July 28, 2004	Consent Order	Berthel, Fisher & Company Financial Services, Inc. Lawrence W. Warren
July 28, 2004	Consent Order	Preferred Trust & Management, Ltd. Larry Borud
June 30, 2004	Consent Order	Preferred Trust and Management, LTD Ron Stafford
June 29, 2004	Consent Order	Preferred Trust and Management, LTD Thomas Deschamp
May 25, 2004	Consent Order	Grainline.com Scott D. Olson
May 18, 2004	Consent Order	Grainline.com Kent Sortland
May 13, 2004	Undertaking and Agreement	The (Wilson) Williams Financial Group, Inc. Sidney Mondschein
April 22, 2004	Consent Agreement	Principal Life Insurance Company
March 18, 2004	Consent Order	Preferred Trust and Management, LTD Dick Schultz
March 15, 2004	Amended Cease and Desist Order	L. H. Ross & Co., Inc. Mintz & Fraade, P.C. Michael Assenza Kelly Chance Shannon Norris Dean Baker
March 15, 2004	Consent Order	Tri-West Investment Club Wesley Leroy Hiller
March 15, 2004	Order for and Notice of Civil Penalty	Integrity Mutual Funds, Inc. ND Capital, Inc. Robert E. Walstad
March 9, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Larry Borud
March 9, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Mark Dostert
March 5, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Tony Kautt
March 5, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Todd Haskins
March 5, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Ron Stafford
March 5, 2004	Findings of Fact, Conclusions of Law and Order	Preferred Trust and Management, LTD Leon Borud
March 4, 2004	Cease and Desist Order and Notice of Civil Penalty	West East Developments, Inc. Webster Crown
March 4, 2004	Cease and Desist Order and Notice of Civil Penalty	EuroBond Fidelity, Ltd.
March 3, 2004	Consent Agreement	D & M Capital, LLC Associated Financial Services, Inc.
March 3, 2004	Consent Order	Preferred Trust and Management, LTD. Randy Bryans
February 24, 2004	Consent Order	American Dream Systems, Inc. Coupon Connection of America, Inc.
February 24, 2004	Consent Order	T.L. Secrest
February 13, 2004	Consent Order	Thomas V. Kozlowski
February 9, 2004	Consent Order	ASKAR, Corp.
February 9, 2004	Consent Order	Gregory A. Grossman
January 27, 2004	Consent Order	Preferred Trust and Management, Ltd. Dennis Skarphol

Archived Enforcement Orders
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