2003 OHO Disciplinary Decisions

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  
C9A020052   6/23/03   Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai  
C3B020013   6/23/03   Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk  
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