Consent Order as the result of a multi-state task force investigating the equity research practices.
BASIN OIL & GAS CORPORATATION, THOMAS R. WATKINS, President, STEVE JUSTICE, JIM CROWLEY and ALL PERSONS EMPLOYED BY OR OTHERWISE AFFILIATED WITH THOSE ENTITIES OR THOSE PERSONS
10/01/2003
Cease and Desist Order pertaining to the offer or sale of unregistered securities.
CREDIT SUISSE FIRST BOSTON LLC, F/K/A CREDIT SUISSE FIRST BOSTON CORPORATION
09/23/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
GOLDMAN, SACHS & CO.
09/22/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
GUS J. BLASS, III
09/12/2003
Order providing a transactional exemption from registration pursuant to Ark. Code Ann. § 23-42-504-(a)(8).
DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI
09/03/2003
Cease and Desist Order and revocation of mortgage loan company exemption from registration pursuant to Ark. Code Ann. § 23-39-306-(a)(4).
BEAR, STEARNS & CO., INC.
08/29/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
UBS WARBURG LLC UBS PAINEWEBBER, INC.
08/22/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
INVESTMENT ADVISORY GROUP, LLC AND BRETT J. HOLIMAN
08/15/2003
Consent Order pursuant to Ark. Code Ann. § 23-42-308(a)(2)(E).