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