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|
Enforcement
Actions |
| Aaron, Shawn E. - CRD#2596836 |
Summary Revocation
Order |
| Abresch, John - CRD#2280271 |
Summary Revocation
Order |
| Acchione, Samuel - CRD#2649560 |
Summary Bar
Order |
| Affiliated Capital Partners |
Civil Action
- Complaint |
| Allianz Dresdner Asset Management of America, P A Distributors
LLC, f/k/a Pimco Advisors Distributors LLC, PEA Capitol
LLC f/k/a Pimco Equity Advisors LLC, and Pacific Investment
Management Company LLC |
Consent Order
and Final Judgement |
| Aloi, Vincent, Aloi, Ricki, Triple a Construction, Inc.,
United Consulting, LLC and Northeast Distribution Services,
Inc. |
Administrative
Consent Order |
| American Express Financial Advisors Inc. - CRD#6363 |
Consent
Order |
| American Investment Club Association Corp., Paul Okoye
Chuckwudi a/k/a Paul Chuck |
Consent Order |
| Amper Politzner and Mattia, P.C. |
Administrative
Consent Order |
| Andrew Garrett, Inc |
Administrative Consent
Order |
| Andrew Garrett, Inc |
Summary Order
of Penalty Assesment |
| Apgar, Justin E. |
Order and Final
Judgement |
| Apgar, Justin E. |
Summary
Order |
| AquaDyn Technologies, Inc. |
Summary Order |
| Archer, Lonzo - CRD#1979672 |
Revocation Order |
| Arlett, Alexis -CRD#1173235 |
Summary Bar
Order |
| Banc of America, LLC |
Consent Order
|
| Banco Esprito Santo S.A. |
Consent Order
|
| Barber, Richard M. |
Consent
Order |
| Barone, Carl |
Consent
Order |
| Barone, Carl; et al |
Administrative
Action |
| Barone, Carl; Beninato, Joseph; Bimon, Stephen; Boscia,
Joseph; Braden, Thomas J.; Brown, Michael J.; Cenicola,
Pat; Chambers,Oscar K.; Clair, Joseph A.; Crowley, Edward
M.; D'ambola, Richard; Dehaven, Bruce; Fillweber, Gary;
Fleyzor, Michael; Franco, Kenneth J.; Guida, Frank; Larkin,
Stephen J.; Mccabe, Thomas; Moloney, Jack; Olsen, Oscar;
Prendergast, Michael; Perez, Frank; Petrulla, Michael; Philbin,
James P.; Prieto, Manuel; Santoro, John; Sloan, Jeffrey;
and Soto, Louis |
Administrative
Complaint |
| Barone, Carl; D'Ambola, Richard et al Consent Order |
Consent Order |
| Barone, Carl; Prendergast, Michael; et al Consent Order |
Consent
Order |
| Bear, Stearns & Co., Inc. |
Consent Order |
| Beigelman, Eugene - CRD#2636873 |
Summary Revocation
Order |
| Beninato, Joseph |
Consent
Order |
| Bernstein, Jeffery and Directive Security Corporation
|
Summary
Order |
| Biocurex, Inc. |
Administrative
Consent Order |
| Bracalls and Pro-Tech Enterprises |
Administrative
Consent Order |
| Brennan, Kevin P. |
Administrative
Consent Order |
| Brennan, Kevin P. |
Summary Revocation
and Penalty Assesment Order |
| Bruno, John Anthony -CRD#1534511 |
Summary Bar
Order |
| Byrne, Thomas Administrative Action - |
Final Decision
and Order |
| Cabral, Ronnilo P. - CRD#1387489 |
Summary Bar
Order |
| Callipari, Richard P. - CRD#2315693 |
Summary Bar
Order |
| Calvert Group, The Calvert Fund -CRD#37527 |
Summary
Order of Penalty Assessment |
| Calvert Group, Socially Responsible Funds -CRD#37527 |
Summary
Order of Penalty Assessment |
| Canary Capital Partners |
Consent Order |
| Capital Markets Advisory, LLC f/k/a Carr Miller
Capital Investments, LLC -CRD#141999; Brain Patrick
Carr -CRD#2577346; Everett Charles Ford Miller -CRD#4166092;
Ryan Jude Carr -CRD#4108245; and Carr Miller Capital, LLC. |
Summary
Order -Revocation; and Verified
Complaint |
| Casey, Michael R. |
Civil Action
-Consent Order
Final Judgment and Consent Order |
| Chamberlain Worldwide, The Service Group, Nicholas Marinella
and Barbara Marinella |
Civil Action-Final
Judgement |
| Chanin, Jay Eric -CRD#2655324 |
Consent Order |
| Charles Erb & Associates, Inc., CEA Financial Group,
Inc., Edward D. Angrisani and Charles D. Erb. |
Consent Order and Final Judgement on
Injuction and on Monetary Settlement; |
| Chicago Investment Group, LLC. |
Consent Order |
| Chung, Christopher; Brunnock, Kevin ; and Savino, William
|
Administrative Complaint; Adminstrative
Consent Order |
| Ciano, David L. |
Consent Order |
| Citigroup Global Markets Inc. -CRD# 7059 |
Consent
Order |
| Citigroup Global Markets Inc. |
Consent Order |
| Clark, Brian J. - CRD#1440175 |
Summary Revocation
Order |
| Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis
|
Amended Administrative
Complaint |
| Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis
|
Consent
Order |
| Clearing Services of America, Inc., Jeffrey P. Cahn, Estate
of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz
and Gerard Sherlock - |
Consent Order
as to Jeffrey Cahn |
| Clearing Services of America, Inc., -Jeffrey P. Cahn,
Louis B. Mercaldo, William Schantz and Gerard Sherlock |
Consent Orderas
to William Schantz, Gerard Sherlock and Louis B. Mercaldo |
| Clearing Services of America, Inc., Jeffrey P. Calm, Estate
of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz
and Gerard Sherlock |
Final Decision
and Order Adopting the OAL Partial Summary Decision with
Amendents |
| Clover Management Group, Inc., Clover Merchant Group,
LTD., Clover Defense Partners, L.P., Clover JCM Defense
Partners, LLC, Clover Capital Management, LLC, CMG Advisors,
LLC, Clover International Advisors, Herbert Mario Figueroa,
Carmine Russo, Thomas Russo and Michael Petrokansky a/k/a
Michael Petro |
Civil Action-Second Amended Verified
Complaint; Civil Action-Order |
| Cobalt Investors Services, Inc., ABC Corp., a fictitious
business, XYZ Corp., a fictitious business, and Richard
Thomas Geck |
Entry of Default |
| CMR Management Group LLC; Michael D'Angelo, Diana D'Angelo,
Richard Sladek, Charles T. Barbero |
Civil Action -
Order Granting Plaintiff Preliminary Injunctive Relief and
Ancillary Relief, and Asset Freeze as to Certain Defendants |
| Cobalt Investors Services, Inc., ABC Corp., a fictitious
business, XYZ Corp., a fictitious business, Richard Thomas
Geck |
Verified
Complaint |
| Conte, Frank J. -CRD#1305007 |
Revocation Order |
| Conway, Charles D. Inmate CRD#2814014 |
Summary Order |
| Cornerstone Ministries Investments, Inc. |
Stop Order |
| Cortellessa, Anthony Louis - CRD#54624 |
Summary
Bar Order |
| Costabile, Douglas - CRD#2581223 |
Summary Revocation
Order |
| Credit Suisse First Boston LLC f/ka Credit Suisse First
Boston Corporation - CRD#816 |
Consent Order |
| Crowley, Edward M. |
Consent
Order |
| Cystal Sky Enterprises, LLC - |
Civil Action
Complaint |
| Dacosta, Patrick |
Order |
| D'Angelo, Michael; D'Angelo, Diana; Sladek, Richard; Barbero,
Charles T.; CMR MNGT GROUP, LLC. |
Final Judgement
and Consent Order as to Defendant Michael D'Angelo |
| Delaney, Brian P. - CRD#2577944 |
Consent Order |
| Deutsche Bank Securities, Inc. |
Consent Order (05) ; Consent
Order (09) |
| D'Iorio, Paul - CRD#2594623 |
Consent Order |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Order of
Final Judgement |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Request for
Entrey of Default |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Notice of
Motion |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Civil Action
- Verified Complaint |
| Discovery Capital Group - CRD#29355 |
Summary
Revocation Order |
| Eisenberg, Colin S. - CRD#2490217 |
Consent Order |
| Eisenstark, Jacob a/k/a Jay Eisenstark; a/k/a Eisenstark
Advisory Inc. Capital Management and as the principal and
Presiden of J.N.J. Capital Management, Inc.; Eisenstark,
Blanche; J.N.J. Capital Management, Inc; Eisenstark Advisory,
Inc. |
Final Judgment and Consent Order |
| Eisenstark, Jacob a/k/a Jay Eisenstark; a/k/a Eisenstark
Advisory Inc. Capital Management and as the principal and
Presiden of J.N.J. Capital Management, Inc.; Eisenstark,
Blanche; J.N.J. Capital Management, Inc; Eisenstark Advisory,
Inc. |
Civil Action-
Order to Show Cause Pursuant to Rule 4:52 |
| EVERETT CHARLES FORD MILLER, |
|
| Farkas, Louis |
Consent Order |
| Ferrera, Gary J. CRD#2496815 |
Summary Revocation
Order |
| Ferris, Baker, Watts Incorporated - CRD#285 |
Summary Order
of Penalty Assessment |
| Fikher, Ilya a/k/a Fisher, Ilya a/k/a Fisher, Elliot a/k/a
Fikher, Elliot a/k/a Elliot, Ilya CRD#2219242 |
Summary Bar
Order |
| Fintz, Leon - CRD#2723092 |
Summary Revocation
Order |
| Firestone, Joel |
Order of
Final Judgement |
| Firestone, Joel |
Order Revoking
Exemptions and Assessing Civil Monetary Penalties |
| First Atlantic Financial, Inc. and Charles Sosinski, Jr.
|
Civil Action
- Order |
| First Montauk Securities Corp. - CRD#13755 |
Consent Order |
| Fleyzor, Michael J. |
Civil Action-
Consent Judgement including Permanent Injunctive Relief |
| Forero, Alfonso -CRD#27971964 |
Order of Revocation |
| Frace, James M. - CRD#2629626 |
Summary Revocation
Order |
| Franklin, Kenneth -CRD#1852819 |
Consent Order |
| Fronjian, Robert, RMF, Inc., and RMF Trading, LLC - |
Summary
Bar Order |
| Florey, Francis Martin |
Consent
Order |
| Fuchs, Gary M., GMF Enterprises, Inc., FNK Capital Management,
Inc., FNK Capital Partners Limited Partnership - |
Administrative
Consent Order |
Gallagher, Daniel J. -CRD#2092711 and
Vision Securities Inc. |
Consent
Order |
| Geck, Richard Thomas - |
Summary Bar Order |
| George F. Gaffney, Hurrican Products, Inc. |
Final Judgement
by Consent |
| Giacomaro, Thomas - |
Summary Bar
Order |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Brian D. Winters, et al as to Defendant Jeffrey
Winters |
Civil
Action - Consent Judgment |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Joan Potts, Brian D. Winters, et al - |
Civil Action
Consent Order |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Joan Potts, Brian D. Winters, et al - as to Defendant Joan
Potts |
Civil
Action Consent Judgment and Final Judgement |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Laura Zemsky, Brian D. Winters, et al - as to Defendant
Laura Zemsky |
Civil
Action Consent Judgment and Final Judgement |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Brian D. Winters, Nicole Kearney, et al - as to Defendant
Michael Malley |
Civil Action
Consent Judgment and Final Judgement |
| Glowe & Co -IARD#120718 and Leon Glowe - CRD#1326501
|
Consent Order |
| Goldman, Sachs & Co - CRD#361 |
Consent
Order |
| Gray, Ingrid |
Civil Action -
Consent Judgment |
| Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.;
Estate of Vera Greenblatt, Jerome M. Rosenthal, Alexandra
Horvath, Maywood Capitol Corp., Maywood Management Corp.,
Tumblers, Inc., Tumblers II, Inc., AP Construction Associates,
Inc., et al |
Civil Action
- Order for Preliminary Injunction |
| Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.;
Estate of Vera Greenblatt, Jerome Rosenthal, Alexandra Horvath,
Maywood Capitol Coro., Maywood Management Corp., Tumblers,
Inc. et al |
Civil
Action - Verified Complaint |
| Hankins, James Jr.; The Hankins Group, Ltd., Hankins Private
Client Group, LLC, Hankins Life Settlement LLC., Dina Hankins
|
Civil Action- Order Granting Plaintiff
Preliminary Injunctive Relief; Verified Complaint; EX PARTE
Order to Show Cause with Temporary Restraints Pursuant to
Rule 4:52; Consent Order |
| Hayden, Matthew A. -CRD#2559471 |
Consent Order |
| Heritage Financial, Inc., David Cairns, Gordon Currie,
Richard Osbourne, Anthony Santoro, Donald Grant, Frank Molson,
the International Regulatory Commission et.al. - |
Plaintiffs'
Second Order to Show Cause with Temporary Restraints |
| Hersh, Mitchel CRD#874733 |
Summary Revocation
Order |
| Investment Center, Inc., The CRD#17839 |
Consent
Order |
| Isaacs, Jeffrey Mitchell |
Consent
Order |
| J.P. Morgan Securities, Inc.- CRD#18718 |
Consent
Order |
| J.P. Morgan Chase & Co.- CRD#79 |
Consent
Order |
| J.P. Turner & Company, L.L.C.- CRD#43177 |
Consent Order |
| Jan Lewan Show Gifts, Inc., JRD Productions, Inc. a/k/a
The Amber Factory, Jan Lewandowski a/k/a Jan Lewan |
Order |
| Jesup & Lamont Securities Corp. -CRD#39056 |
Summary Order
of Penalty Assessment |
| Joyce, Paul F. |
Civil Action
- Consent and Final Judgement including Permanent Injunctive
Relief, Restitution and Civil Monetary Penalties |
| Kairos Financial Corporation -CRD#139299 |
Summary Revocation
Order |
| Kaminsky, Stanislav - CRD#2721200 |
Summary Revocation
Order |
| Kelly, John H. |
Summary Revocation
Order |
| Kelly, Michael. -CRD#1952241 |
Consent Order |
| Kimmel, Thomas |
Order to Cease and Desist |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action
Consent Order Appointing Fiscal Monitor and Granting Other
Ancillary Relief |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action
Order Granting Perliminary Injunction, Asset Freeze, Receivership,
and Other Ancillary Relief |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action
Order Granting Perliminary Injunction, Asset Freeze, Receivership,
and Other Ancillary Relief |
| Kolinsky, Steven |
Consent Order |
| Kolinsky, Steven |
Summary Order |
| L H Ross and Company, Inc. CRD#37920 |
Summary Revocation
Order |
| Lafferty, Jeffrey Scott CRD#2754865 |
Summary Revocation
Order |
| Leffler, Stuart |
Civil Action
- Consent Judgment |
| Lehman Brothers Inc. - CRD#7506 |
Consent Order |
| Lester, Christopher |
Consent Order |
| Lill, Kenneth A,; Thuring, Richard M., Medical Security
Card, Inc., MSC Professional Management Co., Inc. |
Consent Order
and Final Judgement |
| Lipkin, Michael Valdimir |
Civil Action
- Judgement |
| Lowe, Nadine |
Administrative
Consent Order |
| M-Times Investments Co. |
Order to Cease and Desist |
| Maguire Jr, William CRD#2040885 |
Order of Denial
of Agent Registration |
| Malashock, Jeffrey S. |
Summary
Bar Order |
| Maniloff, Lewis -CRD#318695 |
Consent Order |
| Markakis, William |
Summary Bar
Order |
| Martinez, Marcos - CRD#2604427 |
Summary Revocation
Order |
| Mathis, Scott L. CRD#1362203 |
Consent Order
Vacating Order of Denial of Agent Registration |
| Mathis, Scott L. CRD#1362203 |
Order of Denial
of Agent Registration |
| Maturniak, Gregory - |
Consent Order |
| Maywood Capitol Corp., and Tumblers, Inc. |
Civil Action
- Order |
| McCarty, Michael - CRD#1091017 |
Summary Revocation
Order |
| McDermott, Mark |
Consent Order
Under NJAC 1:1-19.1 |
| Mennella, Robert Mario -CRD#1949884 |
Consent Order
of Postponement |
| Merrill Lynch, Pierce, Fenner & Smith Inc., - CRD#7691 |
Consent
Order |
| Merrill Lynch, Pierce, Fenner & Smith Inc., |
Consent Order |
| Merrill Lynch, Pierce,
Fenner & Smith Inc., |
Consent Order |
| Millennium Interactive Technologies Corp. |
Final Judgment |
| Millennium Interactive Technologies Corporation - |
Stipulation
and Warrant to Satisfy Judgement |
| Milstein, Isaac |
Civil Action
- Consent Judgment |
| Miller, Fred J., Affiliated Capital Partners, Capstone
Energy Corp., Commerical Tech, LLC., Eric Riedman &
Associates, M&R Capital Partners, LLC., Traders Commerical
Capital, LLC., Traders Resources Capital, LLC., General
Capital Partners, LLC. |
Civil Action
- Complaint |
| MLC International Asset Management, Inc., Julio M. Crespo,
a/k/a Max Crespo, John M. Brew, SHB Holdings, Ltd., Luis
Figueroa, and Arnold Squitieri. |
Final
Judgement by Arnold Squitieri |
| Monahan, Thomas - CRD#1192627 |
Order of Denial
of Agent Registration |
| Monahan, Thomas - CRD#1192627 |
Order of Denial
of Agent Registration |
| Morgan Stanley & Co., Inc. - CRD#8209 |
Consent Order |
| Morgan Stanley Smith Barney, LLC CRD# 14977 |
Consent
Order |
| Mowat, Victor CRD#341765 |
Summary Bar
Order |
| Mutual Trust Company of America Securities |
Administrative
Action Order |
| Mutual Trust Company of America Securities |
Order for
Penalty Assessment |
| Mutual Trust Company of America Securities |
Consent
Order and Settlement Agreement |
| Myers, Palmer J. |
Final Decision
and Order Adopting Initial Decision |
| Myers, Palmer J. |
Order Granting
Partial Summary Decision |
| Parker, Lamont Percell -CRD#2946241 |
Consent Order |
| Pecoraro, James Robert -CRD#2440231 |
Denial Order |
| Perpetual Securities, Inc., Cathy Y. Huang, Youwei Paul
Xu |
Administrative
Complaint |
| |
|
| Philip R. Davis |
Consent
Order |
| Piersaint, Donax d/b/a CBC Express - |
Civil Action
Complaint |
| Pruco Securities LLC (CRD No 5685) |
Consent Order for
Penalty Assessment |
| Prudential Securities Incorporated a/k/a Prudential Equity
Group, LLC - |
Consent
Order |
| Prosper Marketplace, Inc. |
Consent Order |
| RBC Capital Markets Corporation -CRD#31194 |
Consent Order |
| Racaniello, James M. - |
Final Decision
and Order Adopting the Initial Decision |
| Raymond James and Associates, Inc. |
Consent
Order |
| Riedman, Eric, Affiliated Capital Partners, Capstone Energy
Corp., Commerical Tech, LLC., Eric Riedman & Associates,
M&R Capital Partners, LLC., Traders Commerical Capital,
LLC., Traders Resources Capital, LLC., General Capital Partners,
LLC. |
Civil Action
- Complaint |
| |
|
| Richardson, Christopher J. - CRD#2041338 |
Administrative
Complaint and Order of Denial of Application for Agent Registration |
| Rivero CPA, LLC -CRD#129783 - |
Amended Order
for Monetary Penalties by Consent |
| Rivero, Lourdes -CRD#4739232 - |
Amended Order
for Monetary Penalties by Consent |
| Ruggiero, Kevin - CRD#2765188 |
Summary Bar
Order |
| Sanducci, David -CRD#2370405 |
Revocation
Order |
| Santoro, John |
Consent Order |
| Schloth, William; Somerset Financial Partners, Inc. |
Civil Action
- Complaint |
| Seferian, Norair A. CRD#2674569 |
Summary Revocation
Order |
| Scian, Michael R., Jr - |
Civil Action - Verified Complaint;
Order to Show Cause; Amended Verified Complaint |
| Seferian, Norair A. CRD#2674569 |
Civil Action-Consent Judgement |
| Shahani, Jayant H. CRD#4533103 |
Summary Revocation
Order |
| Shkedi, Nicole M. - CRD#3130873 |
Consent Order |
| Shui, Amy - CRD#707519 |
Summary Revocation
Order |
| Sigma Capital Management, L.L.C., -CRD#127244; Satram
Chainani -CRD#2623294, |
Amended Order
of Penalty Assessment by Consent |
| Sigma Capital Management, L.L.C., -CRD#127244; Satram
Chainani -CRD#2623294, |
Order of
Penalty Assessment |
| Sloan Securities Corp. CRD No. 17930 |
Summary
Order |
| Smith, Maxwell Baldwin, III -CRD#600012 |
Consent Order |
| Solash, Robert H. -CRD#430218 - |
Order for Denial
and Penalty Assessment |
| Somerset Financial Partners, Inc.; Somerset Financial
Group, Inc.; Somerset Investment Management, LLC.; Somerset
Venture Partners, LLC.; and Somerset Venture Partners I,
LLC. |
Civil Action
- Complaint |
| Soojian, Jay John and Dexter Group, Relief Defendant |
Administrative Consent
Consent Final Judgment |
| Spanlogix Corporation, et al. |
Civil Action-
Consent Order and Final Judgement as to Defendants Thomas
D'Innocenzi and Spanlogix Corporation |
| Specialized Autocore Services, Inc., A. Dean Braz |
Complaint |
| Specialized Autocore Services, Inc., A. Dean Braz - |
Civil
Action Consent Judgement |
| Strahl, Brian Thomas a/k/a Brian Thomas Stahl CRD#2305920
|
Summary Bar
Order |
| Subhan, Philip CRD#1244246 |
Summary Bar
Order |
| Talbot, David A.; Schroy, Robert; Simmons, Kenneth; Worldwide
Marketing Network, Inc.; His Glory Worldwide, LLC.; Jesus
Rallies in Chicagoland, Inc. |
Civil Action - Verified Complaint;
Order Granting Plaintiff Preliminary Injunctive Relief
Against Defendants; Final Judgement and Consent Order
as to Defendant Robert Schroy; Final Judgement and Consent
Order as to Defendant Kenneth Simmons |
| Thomas Weisel Partners, LLC |
Consent Order |
| Thompson, Nicholas ; Somerset Financial Partners, Inc.
|
Civil Action
- Complaint |
| Toth, Douglas ; Somerset Financial Partners, Inc. |
Civil Action
- Complaint |
| Trombatore, Frank and CMC Group, Ltd Consent Order |
Consent Order |
| UBS Financial Services Inc. |
Consent Order |
| UBS PaineWebber Inc. - CRD#8174 |
Consent Order |
| UBS Warburg LLC - CRD#7654 |
Consent Order |
| US Bancorp Piper Jaffray - CRD#665 |
Consent Order |
| Valore, Carl - |
Summary Bar
Order |
| Vecchio, Frank Michael CRD#1537031 |
Summary Revocation
Order |
| ViewTrade Financial Network, Inc., ViewTrade Securities,
Inc., Richard D. O'Reilly and Alfred "Archie"
G. Block |
Summary Order |
| Wachovia Securities, LLC. (AG Edwards & Sons, Inc.)
|
Consent
Order |
| Wachovia Securities, LLC. & Wachovia Capital Markets,
LLC |
Consent
Order |
| Wachovia Capital Markets, LLC. - |
Findings of
Fact Conclusions of Law Consent Order |
| Wagtowicz, John T. CRD#4310867 |
Revocation
Order |
| WallStreet Electronica, Inc -CRD#43896; Carlos Francisco
Otalvaro-CRD#2294420; and Frank Charles Donnauro -CRD#1952493 |
Administrative
Consent Order |
| Walsh, Erik - CRD#2589145 |
Summary Revocation
Order |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Verified
Complaint |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Order
to Show Cause |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Consent
Order |
| Wellesley Services, LLC - as to Defendant Dorian Hayes |
Consent
Order and Final Judgement |
| Wellesley Services, LLC - as to Defendant Thomas Giacomaro |
Consent
Order and Final Judgement |
| Wellesley Services, LLC - as to Defendant Anthony Bianco
and Keith Moody |
Consent
Order and Final Judgement |
| Wellesley Services, LLC - as to the Defendant Entities |
Consent Order
and Final Judgement |
| Wellesley Services, LLC - as to the Defendant Stephen
Funk |
Consent
Order and Final Judgement |
| Wells Fargo Investments - CRD#10582 |
Consent |
| White, Neil A. Administrative Action - |
Consent Order
Under NJAC 1:1-19.1 |
| Wilk Financial Services, Inc. |
Consent
Order |
| Winters, Brian D. and Global Trading Investments,
LLC |
Consent Order |
| Wiseman, David Allan CRD#859983 |
Summary Revocation
Order |
| Wroble, Daniel R. - CRD#1413861 |
Order of Denial
of Agent Registration |
