Enforcement Actions  
 
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E*Trade Securities, LLC [ARS] 
  Consent Order    Filed: 12/21/2012
Earthly Mineral Solutions, Inc., Natural Mineral Processing Company, Roy D. Higgs, Frank L. Sch 
  Notice of Service of the Administrator and Affidavit of Compliance; Order to Cease and Desist and Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 11/7/2006
  Order Setting Hearing    Filed: 12/15/2006
  Respondents' Application to Extend Hearing to allow Adequate Discovery, Opposition to Recommendation and Request the Same to be Vacated    Filed: 12/18/2006
  Respondents' Request for Production    Filed: 12/26/2006
  Respondents' Second Request for Extending Hearing to Allow Adequate Discovery    Filed: 1/26/2007
  Petition for Permanent Injunction and other Equitable Relief    Filed: 3/16/2007
  Order of Consolidation of CJ-07-2415 to CJ-04-6295    Filed: 3/16/2007
  Petition for Permanent Injunction and other Equitable Relief    Filed: 3/16/2007
  Order of Consolidation with CJ-04-6295    Filed: 3/16/2007
  Entry of Appearance [Kirk D. Fredrickson]    Filed: 4/2/2007
  Defendants' Answer    Filed: 4/23/2007
  Final Order, Judgment and Permanent Injunction [Heilaman and American Asset Mgmt. Co.]    Filed: 11/13/2007
  Stipulation and Consent to Final Order [Heilaman and American Asset Mgmt. Co.]    Filed: 11/13/2007
  Petition for Permanent Injunction and other Equitable Relief against Monarch Visual Solutions, Inc. and Mark I. Ruttenberg [CJ-08-6116]    Filed: 7/7/2008
Educational Wealth Builders and Swainson Hawke 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 5/10/2005
  Order to Cease and Desist    Filed: 7/11/2005
Embassy Investments & Securities, Inc. and Broadous, Timothy O. 
  Order Establishing Procedure to Notify Investors to make Claims [CJ-08-572]    Filed: 7/28/2008
  ODS' Report and Motion for Approval of Investor Claim Designations [CJ-08-572]    Filed: 11/7/2008
  Order Approving ODS    Filed: 12/18/2008
  ODS’ Motion for Summary Judgment against Timothy Broadous, Sheri Broadous, Embassy Ventures Ltd., and Embassy Investments and Securities, Inc., and Brief in Support    Filed: 10/1/2009
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