2008 National Adjudicatory Council Disciplinary Decisions

Proceeding Number   Date   Title
E9A2004048801   12/16/08   Brian J. Kelly  
C10040052   12/12/08   Scott Mathis  
E8A2005014902   12/10/08   North Woodward Financial Corp. and Douglas A. Troszak  
CMS030182   10/9/08   Richard F. Kresge  
2005001305701   10/6/08   Harvest Capital Investments, LLC and Dennis Cotto  
2005001819101   10/2/08   Domestic Securities Inc.  
CMS040202   9/23/08   Marshall J. Field  
CAF040058   8/26/08   Andrew Gonchar and Polyvios Polyviou  
E8A2002109804   8/20/08   Joseph A. Zaragoza  
E1020040926-01   8/15/08   America First Associates Corp. and Joseph Ricupero  
E8A2003091501   8/13/08   Roy M. Strong  
E102004083702   8/12/08   John C. Correro  
CMS040165   8/7/08   Ara Proudian  
C07050050   5/20/08   Stephen P. Dunbar  
CE3050003   4/30/08   American Fund Distributors, Inc.  
E9B2003026301   4/30/08   Carl Martin Trevisan  
CAF040052   3/12/08   Jericho Nicolas, Angel Cruz and Anthony Joseph Martinez  
2005002570601   3/7/08   Paul Douglas Paratore  
E8A20050252   2/20/08   CMG Institutional Trading, LLC and Shawn D. Baldwin  
CAF020048   1/8/08   Vincent M. Uberti  
C3B050012   1/4/08   Ronald Pellegrino