Proceeding Number		Date
CMS000015		12/28/01		Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc.
C3A010005		12/12/01		Hearing Panel Decision in Department of Enforcement v. Jay R. Rice
C01000037		12/7/01		Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
C3A010009		11/20/01		Hearing Panel Decision in Department of Enforcement v. Mark H. Love
C06010015		11/15/01		Hearing Panel Decision in Department of Enforcement v. Tanya N. Vu
C05010012		11/12/01		Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden
C10000122		10/22/01		Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma
CMS000142		10/15/01		Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa
C9A000038		10/2/01		Hearing Panel Decision in Department of Enforcement v. Jeffrey L. Farley
C01000017		9/18/01		Hearing Panel Decision in Department of Enforcement v. Raymon Salinas
C9B000015		9/10/01		Hearing Panel Decision in Department of Enforcement v. Michael Dabney
CAF000030		8/27/01		Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello
C8A010014		8/20/01		Hearing Panel Decision in Department of Enforcement v. Salam Aburas
C10000046		8/3/01		Hearing Panel Decision in Department of Enforcement v. Quentin T. Quintana
C07000090		8/2/01		Hearing Panel Decision in Department of Enforcement v. Walter Reinhardt
C10000029		7/23/01		Hearing Panel Decision in Department of Enforcement v. Michael Henry Christ
C8A000059		7/19/01		Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson
C3A000054		6/28/01		Hearing Panel Decision in Department of Enforcement v. Robert M. McCulley
CAF000033		6/27/01		Hearing Panel Decision in Department of Enforcement v. Dennis Sturm
CAF000040		6/26/01		Hearing Panel Decision in Department of Enforcement v. Michelle McDonough
C10000006		6/5/01		Hearing Panel Decision in Department of Enforcement v. Leonard Vincent Lombardo
C8B000013		5/29/01		Hearing Panel Decision in Department of Enforcement v. Patrick A. Brady
C3A990071		5/15/01		Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc., Dan D. Purjes, and Paul H. Fitzgerald
C10000140		5/14/01		Hearing Panel Decision in Department of Enforcement v. Mario J. Coniglione
C05000021		5/14/01		Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell
C10000116		5/2/01		Hearing Panel Decision in Department of Enforcement v. Vincent P. Coniglione
C10000139		4/30/01		Hearing Panel Decision in Department of Enforcement v. Frank A. Persico
CAF000015		4/18/01		Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc.
C9A990029		4/3/01		Hearing Panel Decision in Department of Enforcement v. Shannon Johnson
C07000058		3/23/01		Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr.
C9A000027		3/8/01		Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson
C07000003		3/6/01		Hearing Panel Decision in Department of Enforcement v. Jack H. Stein
C02000037		3/6/01		Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper
C07000013		3/2/01		Hearing Panel Decision in Department of Enforcement v. John F. Brown
C8B000001		2/27/01		Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick
C07000033		2/8/01		Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc.
C8A000024		2/2/01		Hearing Panel Decision in Department of Enforcement v. Paul E. Carney
C10000086		1/31/01		Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky
C01000011		1/16/01		Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht
C10000037		1/3/01		Hearing Panel Decision in Department of Enforcement v. George M. Goritz
C01000003		1/3/01		Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen