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Enforcement Actions

 

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Dalton, William S. and BDMP, LLC and IPS Oklahoma Mgmt., LLC and IPS Executive Mgmt., LLC and M
	Order Initiating Investigation    Filed: 9/21/2009

 

Dawn M. Quiroga dba Buyer Solution Marketing
	Order Initiating Investigation    Filed: 8/20/2008

 

DCS Resources, Inc. and Daniel Sweeney
	Agreement, and Permanent Order to Cease and Desist    Filed: 7/20/2005

 

Dedicated Resources, Inc. and Michael D. Zadoff
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 6/10/2002
	Response by Dedicated Resources, Inc. and Michael Zadoff to Recommendation to Issue an Order to Cease and Desist, Request for Hearing, and Suggestion of Bankruptcy as to Dedicated Resources, Inc.    Filed: 6/24/2002
	Order [setting hearing]    Filed: 8/26/2002
	Order Rescheduling Hearing    Filed: 10/1/2002
	Agreement    Filed: 11/18/2002
	Permanent Order to Cease and Desist    Filed: 11/18/2002

 

Dennis R. Anderson
	Summons w/Application for Order Enforcing Administrative Subpoena Duces Tecum, and Proof of Services    Filed: 5/19/2004
	Defendant's Response to Application for Order Enforcing Administrative Subpoena Duces Tecum    Filed: 6/9/2004
	Agreement, and Permanent Order to Cease and Desist    Filed: 7/26/2004
	Notice of Scheduling Conference [3/23/05 @ 9:00 a.m.]    Filed: 2/22/2005
	Agreed Order to Dismiss Application for Order Enforcing Administrative Subpoena Duces Tecum    Filed: 3/10/2005

 

Deutsche Bank Securities, Inc.
	Administrative Consent Order    Filed: 10/12/2006

 

Dickey, Timothy B.
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 5/26/2004
	Order Barring from Association with a Broker-Dealer or Investment Adviser    Filed: 6/30/2004

 

Discovery Capital Group, Inc.
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 9/13/2002
	Order Revoking Registration    Filed: 11/18/2002

Dominion Investor Services, Inc. and Stanley, James
	Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing on Enforcement Division Recommendation    Filed: 8/12/2009
	Response of James Scott Stanley to Enforcement Division Recommendation and Request for Hearing    Filed: 8/18/2009
	Order Setting Hearing [November 12, 2009 @ 9:00 a.m.]    Filed: 9/11/2009
	Order Rescheduling Hearing [January 26, 2010 @ 9:00 a.m.]    Filed: 10/7/2009