ORDER

DATE ISSUED

DIRECTED
AT

REASON FOR ORDER

FINAL DISPOSITION

REMARKS

04-15 S

12/19/03

ICI and Terry Elder

Vacation of hearing on petition

04-14 S

12/17/03

Horizon Benefit Administrators

Hal Hopkins

Mark Fischer

Failure to register as Investment Adviser

Lying to administrator about other state's revocation of IA status

Individuals fined $5,000 each

Company and individuals fined $20,000 jointly

04-13 LS

11/4/03

Michael Leu, USALandInvest.com Inc.

Failure to register under Land Sales Practices Act

Cease & desist ordered

no fine - referred to OSPA for possible criminal prosecution

04-12 S

10/10/03

Corporate Property Associates 15 Inc.

Nonconforming exemption request

Summary denial

04-10 S

8/1/03

Robert Beans - Calista Corp. shareholder

False & misleading proxy solicitation

Fined $100, $50 suspended

04-09 S

9/16/03

Salomon Smith Barney

Consent to change analyst behavior - Global Settlement

Fined $1,500,000

Paid

04-08 S

9/11/03

Credit Suisse - First Boston

Consent to change analyst behavior - Global Settlement

Fined $750,000

Paid

04-07 S

8/29/03

UBS Securities

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

04-06 S

8/29/03

Piper Jaffray

Consent to change analyst behavior - Global Settlement

Fined $125,000

Paid

04-05 S

9/11/03

Morgan Stanley

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

04-04 S

9/11/03

Lehman Bros. Inc.

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

04-03 S

9/11/03

J.P. Securities Inc.

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

04-02 S

8/20/03

Goldman, Sachs & Co.

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

04-01 S

8/29/03

Bear, Stearns & Co.

Consent to change analyst behavior - Global Settlement

Fined $250,000

Paid

03-21 S

5/29/03

Vista Financial Services Corp.

Summary order to postpone withdrawal of B-D registration

03-19 S

5/23/03

Joseph Poteat

Clyde Austin

Lotus Management

Fraud, selling unregistered securities

Fined $90,000

03-18 S

6/4/03

Alliance for the Future of CIRI

False and misleading statements in proxy solicitation

Order vacated

03-16 S

3/26/03

Wineshares Intnl./Domaine de Regusse - Buko von Krosigk

Unregistered sales of securities by unregistered agent

Order issued - von Krosigk fined $3,500; all respondents each fined $2,500

Investor repaid $6,000 fines dropped

03-14 S

2/18/03

Bruce Tiedeman (Chugach Alaska Corp.)

Making false statements in proxy statement

Order issued - $500 fine

03-12 S

4/10/03

Unregistered sales of securities by unregistered agents

Order issued - $100,000 fines for each respondent

Consent reached - Whitehead & Morris fined $6,000 with $2,000 suspended; Geary fined $10,000 with $6,000 suspended

03-11 S

1/16/03

Frank Peterson, Alicia Reft

Failure to make required disclosures in proxy statement

Final Order - $500 fine

03-10 S

12/23/02

Lotus Management/Global Strategies

Sales of unregistered securities by unregistered agents

Order - total of $50,000 in fines

Service cannot be effected

03-09 S

11/18/02

Calista Corporation and 3 shareholders

Failure to disclose criminal history in proxy statement

Consent - Calista $500 fine; shareholders $250 each

03-06 S

10/15/02

Kenai Natives Assn.

Failure to disclose financial transaction w/shareholder

Order - $1,000 fine

03-04 S

9/24/02

EdwardJones and Peter Van Flein

Failure to properly classify a letter of complaint

Final Order - $10,000 EJ and $1,000 PVF

Matter closed on summary judgment

03-02 S

7/12/02

Sterling Advance Marketing

Sales of unregistered securities by unregistered agent

Final Order issued

Fined $25,000 in total

03-01 S

7/12/02

Equity Traders, LLC

Acting as a broker-dealer without registration

Final order by operation of law - $5,000 fine

Respondent in bankruptcy