Commission
Commission Overview
Activities & Objectives
Meeting Agenda
Commission Reports
Commissioner's Login
Employee Access
Enforcement
Enforcement Overview
Complaint procedures
Press Releases
Actions
Ask a Question
Corporate Finance
Corporate Finance Overview
Check Filing Status
IC Notice Permit Letters
Ask a Question
Firms/Professionals
Firms/Professionals Overview
Broker-dealer
Investment Adviser
Compliance Exam Materials
IA Switch Information
Database Search
FINRA BrokerCheck
Exam & Testing Info
NonBranch Offices
Ask a Question
Contact Us
Contact Overview
Forms
Press Releases
External Links
Act & Rules
Records Inspections
Document Delivery Page
Document Download Page
Investor Ed
Enforcement Actions
By Date
|
2013
|
2012
|
2011
|
2010
|
2009
|
2008
|
2007
|
2006
|
2005
|
2004
|
2003
|
2002
|
2001
|
By Case Name
|
A
|
B
|
C
|
D
|
E
|
F
|
G
|
H
|
I
|
J
|
K
|
L
|
M
|
N
|
O
|
P
|
Q
|
R
|
S
|
T
|
U
|
V
|
W
|
X
|
Y
|
Z
|
Search:
Safe Harbor Financial, LLC
Order Initiating Investigation
Filed: 11/27/2007
Schubert and Associates and Schubert, Marsha Kay and Schubert, Richard L.
Receiver's Accounting for September 2008
Filed: 10/6/2008
Receiver's Accounting for October 2008
Filed: 11/5/2008
Receiver's Accounting for November 2008
Filed: 12/9/2008
Receiver's Accounting for December 2008
Filed: 1/9/2009
Receiver's Accounting for January 2009
Filed: 2/16/2009
Receiver's Accounting for February 2009
Filed: 3/10/2009
Receiver's Accounting for March 2009
Filed: 4/23/2009
Receiver's Accounting for April 2009
Filed: 5/6/2009
Receiver’s Application for Authority to Pay Interim Attorney Fees for January 5, 2009 through May 31, 200
Filed: 6/11/2009
Application for Authority to Pay Interim Receiver’s Fees for October 14, 2004 through June 2009
Filed: 6/19/2009
Receiver’s Application for Authority to make Third Distribution to Claimants/Creditors
Filed: 6/19/2009
Receiver’s Accounting for May 2009
Filed: 6/22/2009
Receiver's Accounting for June 2009
Filed: 7/10/2009
Order Granting Receiver’s Application for Authority to make Third Distribution to Claimants/Creditors
Filed: 7/10/2009
Notice of Change of Address [Bradley E. Davenport]
Filed: 8/7/2009
Receiver's Accounting for July 2009
Filed: 8/11/2009
Receiver's Accounting for August 2009
Filed: 9/3/2009
Receiver’s Accounting for September 2009
Filed: 10/26/2009
Receiver's Accounting for November 2009
Filed: 12/9/2009
Receiver’s Application for Authority to Pay Interim Attorney Fees for 6/1/09 through 12/31/09
Filed: 1/6/2010
Page 1 of 23
Page 2 >>