Proceeding Number		Date
C3A030017		12/30/03		Hearing Panel Decision in Department of Enforcement v. Fox & Company Investments, Inc. and James W. Moldermaker
C01020023		12/30/03		Hearing Panel Decision in Department of Enforcement v. Day International Securities, Douglas Conant Day, and Ronald Winston Wood
C8B030012		12/29/03		Hearing Panel Decision in Department of Enforcement v. Mark F. Mizenko
C01020027		12/15/03		Hearing Panel Decision in Department of Enforcement v. Aurangzeb Rashid Pirzada
C3A030001		12/10/03		Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino
C02030026		12/4/03		Hearing Panel Decision in Department of Enforcement v. David T. Kaagan
CMS030006		12/3/03		Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp.
C01020024		11/24/03		Hearing Panel Decision in Department of Enforcement v. Douglas Conant Day
CAF020007		11/19/03		Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes
C02030015		11/14/03		Hearing Panel Decision in Department of Enforcement v. Louis S. Gray
C3A020039		11/10/03		Hearing Panel Decision in Department of Enforcement v. Salvatore Clark
C10020090		11/7/03		Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante
C10020075		10/2/03		Hearing Panel Decision in Department of Enforcement v. Joseph Brian Shevlin, Jr.
C9A030017		10/1/03		Hearing Panel Decision in Department of Enforcement v. Eric J. Laucius
C02020055		9/24/03		Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto
CAF000016		9/22/03		Hearing Panel Decision in Department of Enforcement v. Stephen Jay Drescher
C9A020018		9/4/03		Hearing Panel Decision in Department of Enforcement v. John J. Katsock, Jr.
CAF010011		9/3/03		Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander
C10020076		8/29/03		Hearing Panel Decision in Department of Enforcement v. Jeffrey Mills
C05020060		8/27/03		Hearing Panel Decision in Department of Enforcement v. John R. Bingham
C3B020015		8/11/03		Hearing Panel Decision in Department of Enforcement v. Davrey Financial Services, Inc., and Pravin R. Davrey
CMS020143		8/7/03		Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II
C9B020052		8/6/03		Hearing Panel Decision in Department of Enforcement v. Brian J. Clark
C01020012		7/28/03		Hearing Panel Decision in Department of Enforcement v. Kelmoore Investment Co., Inc., and Shawn Kelmon Young
C10010004		7/14/03		Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel
C01020025		7/8/03		Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen
C3B020013		6/23/03		Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk
C9A020052		6/23/03		Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai
C10020060		6/5/03		Hearing Panel Decision in Department of Enforcement v. Andrew Knight
C07010099		5/27/03		Hearing Panel Decision in Department of Enforcement v. Thomas A. Timberlake
C9A020052		5/21/03		Hearing Panel Decision in Department of Enforcement v. Guang Lu
C9B020060		5/14/03		Hearing Panel Decision in Department of Enforcement v. Mark Paul Adler
C9B020046		4/28/03		Hearing Panel Decision in Department of Enforcement v. Justin E. Apgar
C06020003		4/25/03		Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms
C3A010036		3/28/03		Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3
C9A020017		3/17/03		Hearing Panel Decision in Department of Enforcement v. Emanuel L. Sarris
C01020014		3/4/03		Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz
DFC020018		2/21/03		Hearing Panel Decision in NASD Treasurer v. Respondent
C10010004		2/13/03		Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel
C8A010094		2/10/03		Hearing Panel Decision in Department of Enforcement v. Jonathan B. Day
C9B020048		2/7/03		Hearing Panel Decision in Department of Enforcement v. John Michael Brack
C8A020032		2/5/03		Hearing Panel Decision in Department of Enforcement v. Leroy Avery
C8A020014		1/30/03		Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger
C9B020037		1/8/03		Hearing Panel Decision in Department of Enforcement v. Kenneth J. Gilmore