SECURITIES
Administrative Actions
2004
January | February | March | April | May | June | July | August | September | October | November | December
Janney Montgomery Scott, LLC
November 30, 2004
Richard A. Saitta
November 30, 2004
Sandpoint Capital, LLC
November 24, 2004
James E. Upshaw, Sr.
Upshaw and Associates, LLC
November 16, 2004
Curtis Aviation Services, Inc.
Michael H. Curtis
November 12, 2004
DBSI Securities Corporation
November 9, 2004
Christian Dream Builders Financial Planning, Inc.
Kenneth D. Bivens
November 8, 2004
W. Craig and Company
Auctions for Income
Elijah Rubin
Dave Espino
November 3, 2004
Frost Brokerage Services, Inc.
November 3, 2004
Nicholas S. Savva
November 3, 2004
Scott Mikros
Mikros Economics Hedge Fund, LLC
Risk Management International, LLC
November 3, 2004
William H. Pluchel
November 3, 2004
The Secretary of State, Illinois Securities Department or their information providers shall not be liable regardless of the cause or duration, for any errors, inaccuracies, omissions or untimeliness of the information, or for any delay or interruption in the transmission thereof to the user, or for any claims or losses arising therefrom.
Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader
Requests for copies of Settlement Agreements and other Adminstrative Actions not posted on this website may be made by contacting the Illinois Securities Department at 217-782-2256.
Administrative Actions are offered in PDF format unless otherwise stated. Get Adobe Reader