2010 National Adjudicatory Council Disciplinary Decisions

Proceeding Number   Date   Title
2006007544401   12/28/10   M. Paul De Vietien  
2006005318801   12/22/10   Kent M. Houston  
2007009848801   12/17/10   Dante J. DiFrancesco  
2006005696601   10/21/10   Westrock Advisors, Inc.  
2007008358101   10/15/10   Vincent P. McCrudden  
E102003025201   10/15/10   Robert Conway and Kakit Ng  
2005000879302   10/8/10   Legacy Trading Co., LLC and Mark Alan Uselton  
2008012026601   10/7/10   CMG Institutional Trading, LLC and Shawn D. Baldwin  
2006003834901   8/19/10   Moustafa M. Zayed  
EAF0400630001   8/18/10   Kevin L. Cohen, Dennis S. Kaminski, and Gari C. Sanfilippo  
2007010306901   7/30/10   FCS Securities and Dale Kleinser  
2005000835801   7/26/10   Harry Friedman  
2005003188901   5/10/10   Richard G. Cody  
2006006890801   5/5/10   CMG Institutional Trading LLC and Shawn D. Baldwin  
E8A2004072203   4/23/10   Jonathan M. Skiba  
CLGO50021   3/3/10   John Patrick Leighton and Kenneth D. Pasternak  
2005001729501   2/26/10   Gerald J. Kesner  
2006003738501   2/24/10   Mission Securities Corporation and Craig M. Biddick