2001 OHO Disciplinary Decisions

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  
C05000021   5/14/01   Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell  
C10000140   5/14/01   Hearing Panel Decision in Department of Enforcement v. Mario J. Coniglione  
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  
C02000037   3/6/01   Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper  
C07000003   3/6/01   Hearing Panel Decision in Department of Enforcement v. Jack H. Stein  
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