MICHAEL A. ROOMS

04/01/2005: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 51467/April 1, 2005 Admin. Proc. File No. 3-11621 In the Matter of the Application of MICHAEL A. ROOMS 7377 South Flower Street Littleton, Colorado 80128 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDING Violations of Conduct Rules Causing Violations of Penny Stock Rules Attempt to Obstruct NASD Examination Associated

03/24/2006: PUBLISH UNITED STATES COURT OF APPEALS TENTH CIRCUIT MICHAEL A. ROOMS, Petitioner v. SECURITIES AND EXCHANGE COMMISSION, Respondent. No. 05-9531 FILED United States Court of Appeals Tenth Circuit March 14, 2006 Elisabeth A. Shumaker Clerk of Court ON PETITION FOR REVIEW FROM ORDER OF THE SECURITIES AND EXCHANGE COMMISSION (No. 3-11621) Submitted on the briefs: Eric B. Liebman, Patrick G. Compton, Lindquist & Vennum, P.L.L.P., Denver, Colorado, for Petitioner. Giovanni P. Prezioso, General Counsel, Jacob

Reference C06020003data-portal.finra.orgdata-portal.finra.orgfinra.org