|
Company
|
Date
Issued
|
Description
|
|
YNC
Corporation
|
11
Aug.2005
|
|
|
CITICAPITAL
Inc.
|
12
July 2005
|
Permanent
CDO
|
|
30 March 2004
|
Temporary
CDO
|
|
Holy
Soul's Mercy Incorporated
|
01
Feb. 2005
|
|
|
The
Village Sports Club Ventures, Inc.
|
24
Nov. 2004
|
|
|
Lead
Lending Corporation
|
30 May 2003
|
|
|
H-Factor
Trading & Marketing Corp.
|
22
April 2003
|
Permanent
CDO
|
|
Tibayan Group Investment Company, Inc.;
Tg Asset Management Corporation;
Matcor Holdings Company, Ltd.;
Jetcor Equity Company, Ltd.;
Sta. Rosa Management And Trading Corporation;
Westar Royalty Management And Trading Corporation;
Starboard Management And Trading Corporation;
United Alpa Management And Trading Corporation;
Global Progress Management And Trading Corporation;
Athon Management And Trading Corporation;
Diamond Star Management & Trading Corporation;
Tibayan Management Group International Holdings Co. Ltd.
|
24
Feb 2003
|
Permanent
CDO
|
|
Five
Vision Consultancy, Inc., Intercontinental Services, Inc., Conrad Group
and Associates, Inc., Servlink Cargo, Inc.
|
22
April 2003
04
Feb. 2003
|
Permanent
CDO
|
|
Multitel
International Holdings Inc.
|
10
Sept. 2002
|
|
|
MMG International
Holdings Co., Ltd.
|
18 April
2002 01
April 2002
|
Order
|
|
Glasgow
Credit & Collection Services, Inc.
|
30
July 2002
|
Sale of
unregistered securities - Permanent CDO
|
|
Cybweb
Group, Inc.
|
13
June 2002
|
|
|
Phil-Asia
Care Plans, Inc.
|
28
May 2002
|
|
|
Goldberg & Partners, Inc.
|
02 Aug.
2001
|
Boiler Room / Fraudulent securities transactions
|
|
G. Cosmos Phils.,
Inc.
|
26 July
2001
|
Unregistered Investment Contract
|
|
United Capital
Mgt., Inc.
|
23 May
2001
|
Boiler Room / Fraudulent securities transactions
|
|
GEI Training
& Services, Inc.
|
17
May 2001
|
Future Currency Trading
|
|
Oxford Int'l.
Mgt., Inc.
|
10
May 2001
|
Boiler Room / Fraudulent securities transactions
|
|
Wells Chadwick, Inc.
|
09 May
2001
|
Boiler Room / Fraudulent securities transactions
|
|
Barclays Group, Inc. & New World Financial Group Ltd.
|
10
Apr. 2001
|
Boiler Room / Fraudulent securities transactions
|
|
Sherman Brothers Mgt. Ltd., Inc.
|
28
March 2001
|
Boiler Room / Fraudulent securities transactions
|
|
Multinational Telecom Investors Corp.
|
08
March 2001
|
Lending investor
|
|
Power Homes Unlimited
|
26
Jan. 2001
|
Unregistered Investment Contract
|
|
American Automobile Int., Inc.
|
24
Jan. 2001
|
Ultra Vires Act
|
|
Belkin Mgt.
Consultancy, Inc.
|
11
Oct. 2000
|
Forex trading /
Futures Currency Trading
|
|
Bradford Kempner
Mgt. Services, Inc.
|
29
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Muller & Sons Securities Mgt., Inc.
|
27
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Dukes &
Company Securities Corp.
|
27
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Knowie &
Sachs, Inc.
|
27
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Saxon & Swift, Inc.
|
27
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Newport Pacific
Securities & Mgt., Inc.
|
22
Sept. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Worldwide Investors, Inc.
|
28
Aug. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Asia World
Online, Inc.
|
28
Aug. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Bradshaw Globa
Asset Mgt., Inc.
|
28
Aug. 2000
|
Boiler Room / Fraudulent securities transactions
|
|
Primelink
Properties & Dev. Corp.
|
17
Feb. 1997*
|
Non-registration of securities
|
