1997 National Adjudicatory Council Disciplinary Decisions

Proceeding Number   Date   Title
C07930034   12/31/97   Escalator Securities, Inc., & Howard A. Scala  
C9A970019   12/22/97   Nicholas A. Rudi  
C01960003,C01960024   12/17/97   L.H. Alton & Company & Lewis Hunt Alton  
CMS950042   12/1/97   Victor H. Palma, Jr.  
C10960019   12/1/97   David A. Blech  
C9A960030   11/20/97   Brian L. Shegon  
C10960116   11/20/97   Ilana Abby Knapp  
C07960110   11/20/97   Darren L. Klemp  
C07960065   11/20/97   Christopher K. Cutchens  
C3A960014   11/18/97   John Holland  
C01950010   11/5/97   Ashton N. Gowadia  
C8A930048   10/31/97   Miguel Angel Cruz  
C8A950030   10/31/97   James Allen Merlen & City Securities Corporation  
C3A940064   9/19/97   Aspen Capital Group, Inc., & Stephen Carlson  
C8A940073   9/18/97   Steven Herbert Johansen  
C02950053   8/28/97   Michael Edgar Goldstein, Jeffrey B. Goodman, Jason Scott Neu, William Reininger, & Joseph Patrick Hannan  
C05950018   8/28/97   John M.W. Crute, Jr.  
CMS920002   8/22/97   Warren R. Schreiber & Marian S. Gargano  
CMS950129   8/12/97   Vladislav Steven Zubkis  
C9A960002   8/5/97   Shamrock Partners, Ltd. & James T. Kelly  
C10950101   8/5/97   Forbes, Walsh, Kelly & Co., Inc., & Robert E. Kelly  
C01960005   8/1/97   Clyde Joseph Bruff  
C9B950014   7/28/97   Michael R. Euripides  
C3B940028   7/25/97   Investment Management & Research, Inc., Milton Anthony Greene, Kenneth Craig Krull, & Michael John DiGirolamo  
C10930044   7/3/97   Leonard John Ialeggio  
CMS950087   6/5/97   Kevin Eric Shaughnessy