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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.

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