2004 National Adjudicatory Council Disciplinary Decisions
| Proceeding Number | Date | Title | |||
| C8B030012 | 12/21/04 | Mark F. Mizenko | |||
| CMS000142 | 12/20/04 | Ko Securities, Inc. | |||
| CMS020143 | 12/9/04 | Joseph A. Geraci, II | |||
| C02020055 | 12/2/04 | VMR Capital Markets US | |||
| CAF030008 | 11/22/04 | Frank Peter Quattrone | |||
| C3B020015 | 9/7/04 | Davrey Financial Services, Inc. | |||
| C01020025 | 8/16/04 | Brookes McIntosh Bendetsen | |||
| CAF010021 | 8/16/04 | J. Alexander Securities, Inc. | |||
| C9B020032 | 8/12/04 | Rooney A. Sahai | |||
| C3B020013 | 8/9/04 | Christopher R. Van Dyk | |||
| C06020003 | 7/30/04 | Eric H. Dieffenbach and Michel A. Rooms | |||
| C9A020052 | 5/13/04 | Guang Lu | |||
| C01020014 | 5/11/04 | Paul Joseph Benz | |||
| C10020060 | 4/27/04 | Andrew C. Knight | |||
| C3A010036 | 2/19/04 | Castle Securities Corp. & Michael Studer |