Enforcement Actions

Date	Type of Order	Subjects of Order
December 8, 2005	Cease and Desist Order	Dominion Investments, Inc. Tony Adams
November 22, 2005	Cease and Desist Order	I2U, Inc. Richard Mladek
November 14, 2005	Order for Summary Suspension of Agent Registration	Kevin David Wells
October 26, 2005	Consent Order	Dale F. Roehrich
September 7, 2005	Order for Civil Penalty and Order of Rescission	CD Acquisition Corp. David Mees
August 29, 2005	Order for and Notice of Civil Penalty	Piper Jaffray & Co. Brady Vollmers
August 26, 2005	Administrative Consent Order	Deutsche Bank Securities, Inc.
August 11, 2005	Order for and Notice of Civil Penalty	A. G. Edwards & Sons, Inc. Daniel M. Schmidt
July 29, 2005	Consent Order	Waddell & Reed, Inc.
July 15, 2005	Consent Order	Pruco Securities, LLC
July 5, 2005	Cease and Desist Order	Government Benefit Services Glen W. Finley, Jr.
June 3, 2005	Consent Order	Schwartz Investment Management Company James Schwartz
June 3, 2005	Order for and Notice of Civil Penalty	Dale F. Roehrich
May 20, 2005	Consent Agreement	Assemblies of God Loan Fund
May 5, 2005	Consent Order	Piper Jaffray & Co. Terry Millner
May 5, 2005	Order to Vacate Order for and Notice of Civil Pena	Integrity Mutual Funds, Inc. f/k/a ND Holdings, Inc. ND Capital Inc. Robert E. Walstad
April 4, 2005	Consent Order	Capital Growth Financial, LLC
February 15, 2005	Consent Order	David A. Skjerven
February 10, 2005	Order for and Notice of Civil Penalty	Capital Growth Financial, LLC
January 26, 2005	Proposed Order to Deny Agent Application	Bruce A. Hager
January 26, 2005	Proposed Order to Deny Investment Advisor App	Bison Capital Management, LLC
January 20, 2005	Consent Order	Investment Advisory Services Thomas H. Marsden

Archived Enforcement Orders
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