2007 Administrative Actions

9/4/2007

Press Release

In the Matter of the License of Secured Financial Companies, Inc., d/b/a Secured Financial Group and Brian James Peterson.
 
Stipulation for Consent Order
Consent Order
 

5/21/2007

IN THE MATTER OF WILLIAM ALAN GAY AND SOUTHERN FINANCIAL CORPORATION.
 
Stipulation
Consent Order

3/26/2007

IN THE MATTER OF LOUIS WELT.

Consent Order
Stipulation for Consent Order

2/26/2007

IN THE MATTER OF OPPENHEIMERFUNDS DISTRIBUTORS, INC.

 
Stipulation for Consent Order
Consent Order

2/8/2007

IN THE MATTER OF THE LICENSE AND LICENSE APPLICATION OF ROBERT FAY.

Consent Order
Stipulation for Consent Order

1/2/2007

IN THE MATTER OF MICHAEL DAMBECK AND LIFE PARTNERS.

Consent Order
Stipulation for Consent Order