Order providing a waiver of certain provisions of the exemption pursuant to Ark. Code § 23-402-504(a)(9).
MORGAN STANLEY & CO., INCORPORATED
11/05/2003
Consent Order as the result of multi-state task force investigating the equity research practices.
DREAM HOUSE MORTGAGE CORPORATION, PROVIDENCE, RI
10/31/2003
Order to vacate Order No. C-03-029-03-OR01.
CHARLES E. ELLIOTT, INDIVIDUALLY AND D/B/A BREAD OF LIFE INVESTMENTS, LTD.; CHARLES E. ELLIOTT AND NICHOLAS J. KRUG, INDIVIDUALLY, AND D/B/A GOLD STAR PROPERTIES AND GOLDEN EAGLE 1 GROUP; PLATINUM ADVANTAGE LLC INTERNATIONAL CREDIT UNION; VANTAGE GLOBAL FUND LP; DOVE HOLDINGS, LLC; REBATES INTERNATIONAL, INC.; AND TERRY H. MAHON
10/16/2003
Cease and Desist Order pertaining to the offer or sale of unregistered securities.
LEHMAN BROTHERS INC.
10/01/2003
Consent Order as the result of a multi-state task force investigating the equity research practices.
J. P. MORGAN SECURITIES, INC.
10/01/2003
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.