Enforcement Actions

Date	Type of Order	Subjects of Order
December 4, 2006	Consent Order	Piper Jaffray & Co.
December 4, 2006	Consent Order	Wachovia Capital Markets, LLC
November 17, 2006	Consent Order	Banker's Life and Casualty Company
November 7, 2006	Consent Agreement	Philip Moshier
October 31, 2006	Consent Order	Berthel Fisher and Company Financial Services, Inc. Timothy Hayden
October 30, 2006	Consent Agreement	Ready Cash, Inc. Donald Gehrig
October 30, 2006	Consent Order	James Wahl
October 23, 2006	Consent Agreement	Lester Westgard
October 10, 2006	Consent Agreement	ACAP Financial, Inc. Donald Fisher
October 9, 2006	Consent Agreement	Lincoln Financial Advisors Corp.
September 11, 2006	Consent Order	Michael L. Puklich
September 6, 2006	Order for Civil Penalty & Rescission	Capital Growth Financial, LLC Ross O. Haugen
August 31, 2006	Cease and Desist Order	David A. Skjerven Skjerven Financial Services
June 28, 2006	Cease and Desist Order	ProTrust Financial Group, Inc. ProTrust Management Group, Inc. Gordon B. Grigg
June 28, 2006	Consent Order	Piper Jaffray & Co. Brady Vollmers
May 24, 2006	Cease and Desist Order	Anton Kunz The ABC System
May 1, 2006	Cease and Desist Order	National Forex Corp. Dennis Drake
April 17, 2006	Cease and Desist Order	Viper Acquisition, LLC Mees Masonry Corp. Riverside RV Rentals, Inc. Dig-it Underground, Inc. R. Lang Construction, Inc. Calvin K. Mees Wade J. Vogel
April 13, 2006	Default Order	I2U, Inc. Harold Richard Mladek
March 21, 2006	Cease and Desist Order	James R. Bullis Montgomery, Goff & Bullis, P.C.
March 8, 2006	Cease and Desist Order	Harmony Consultants, Inc. Conejo Valley Consultants, Inc. Mel Rosoff a/k/a Mel Fields
February 6, 2006	Cease and Desist Order	Kea-Watt and Associates, Ltd. Joseph Henry Kalina Larry Gene Kalina Terry Wanless
February 2, 2006	Order to Revoke the Securities Registrations	Dakota Payphone, LLC
January 13, 2006	Administrative Consent Order	Thomas Weisel Partners, LLC
January 13, 2006	Summarily Suspend the Securities Registrations	Dakota Payphone, LLC

Archived Enforcement Orders
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