Enforcement Actions  
 
By Date | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 |
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:
Garcia, Patrick J. 
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing with attached Enforcement Division Recommendation    Filed: 3/29/2004
  Order Barring from Association with a Broker-Dealer or Investment Adviser    Filed: 4/22/2004
Gates Oil & Gas, Ltd. 
  Order Initiating Investigation    Filed: 2/21/2013
Geary, Keith D. 
  Summary Order Postponing Application for Registration and Notice of Opportunity for Hearing    Filed: 3/30/2012
  Request for Hearing    Filed: 3/30/2012
  Order Setting Hearing [4/18/12 @ 10:00 a.m.]    Filed: 4/5/2012
  Order Continuing Summary Order Postponing Application for Registration    Filed: 4/19/2012
  Order of Conditional Registration as an Agent    Filed: 4/23/2012
Geary, Keith Douglas and Geary Securities, Inc. fka Capital West Securities and Frager, Norman  
  Order Initiating Investigation against Keith Geary and Geary Securities, Inc.    Filed: 3/8/2010
  Notice of Service on the Administrator and Affidavit of Compliance; Notice of Opportunity for Hearing w/Enforcement Division Recommendation    Filed: 9/22/2010
  Answer and Request for Hearing by Norman Frager    Filed: 10/15/2010
  Answer by Geary Securities, Inc., Keith D. Geary, and CEMP, LLC    Filed: 10/15/2010
  Request for Hearing by Geary Securities, Inc., Keith D. Geary, and CEMP, LLC    Filed: 10/15/2010
  Order Setting Hearing and Appointing Hearing Officer    Filed: 11/9/2010
  Agreed Scheduling Order    Filed: 12/14/2010
  ODSí Preliminary List of Witnesses and Exhibits    Filed: 12/22/2010
  Respondents' Preliminary List of Witnesses and Exhibits    Filed: 12/23/2010
  Norman Fragerís Preliminary List of Witnesses and Exhibits    Filed: 12/24/2010
  Agreed Amended Scheduling Order    Filed: 2/14/2011
  Motion to Quash and for Protective Order    Filed: 3/3/2011
  Geary Respondentsí (1) Motion to Strike Witnesses and Allegations, (2) Motion for Protective Order to Limit Scope of Depositions, (3) Response and Objection to the BOU Non-Partiesí Motion to Quash, and (4) Alternative Motion for Expedited Enforcement of Subpoena in the District Court    Filed: 3/14/2011
Page 1 of 21   Page 2 >>