Proceeding Title		Date
CAF040042		12/15/04		Hearing Panel Decision in Department of Enforcement v. LH Ross & Company, Inc.
CMS030182		12/10/04		Hearing Panel Decision in Department of Enforcement v. Yankee Financial Group, Inc.
C9B030076		11/30/04		Hearing Panel Decision in Department of Enforcement v. Raghavan Sathianathan
C02040016		11/29/04		Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes
C9A040020		11/24/04		Hearing Panel Decision in Department of Enforcement v. Paul V. Roddy, Jr.
C05030036*		11/19/04		Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al.
C10040019		11/16/04		Hearing Panel Decision in Department of Enforcement v. Oscar Montenegro
C07040048		10/19/04		Hearing Panel Decision in Department of Enforcement v. Lacy M. Walthall, III
C8A030089		10/11/04		Hearing Panel Decision in Department of Enforcement v. Joseph Rogala
C06040017		10/8/04		Hearing Panel Decision in Department of Enforcement v. David Allen Regis
C8A030099		9/28/04		Hearing Panel Decision in Department of Enforcement v. Timothy J. Duma
C3A040009		9/23/04		Hearing Panel Decision in Department of Enforcement v. Michael Hanchar
C10030087		9/22/04		Hearing Panel Decision in Department of Enforcement v. Gilbert Alan Cardillo
C3A030015		7/13/04		Hearing Panel Decision in Department of Enforcement v. Herbert I. Kay
CAF030013		7/6/04		Hearing Panel Decision in Department of Enforcement v. Richard L. Newburg
C10030082		6/30/04		Hearing Panel Decision in Department of Enforcement v. Stephen Nicholas Thomas
C8A020088		6/29/04		Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey
C10030088		6/29/04		Hearing Panel Decision in Department of Enforcement v. Andrew P. Schneider
C11040006		6/14/04		Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken
CLI030011		6/7/04		Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis
CAF020048		6/7/04		Hearing Panel Decision in Department of Enforcement v. Donner Corporation International (N.K.A. National Capital Securities, Inc.), Jeffrey L. Baclet, Vincent M. Uberti, and Paul A. Runyon
CMS020247		6/4/04		Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa
C8A030068		5/27/04		Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer
C8A030078		5/25/04		Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger
C10030076		5/19/04		Hearing Panel Decision in Department of Enforcement v. Daewoo Securities (America) Inc, and Hong Gon Kim
C9B030045		5/10/04		Hearing Panel Decision in Department of Enforcement v. Michael O'Hare
C9A030023		5/6/04		Hearing Panel Decision in Department of Enforcement v. George A. Murphy, Jr.
C04030057		5/4/04		Hearing Panel Decision in Department of Enforcement v. Sherry Lee Williams
C04030057		5/4/04		Hearing Panel Decision in Department of Enforcement v. Sherry Lee Williams
C01030004		4/26/04		Hearing Panel Decision in Department of Enforcement v. Tad Enrique Mihalopoulos, Sr.
C8A030034		4/26/04		Hearing Panel Decision in Department of Enforcement v. James Barrick
C05020055		4/19/04		Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel
C01030019		4/8/04		Hearing Panel Decision in Department of Enforcement v. Lance Christopher Newby
C01030030		3/31/04		Hearing Panel Decision in Department of Enforcement v. Brad Louis Zigler
CMS030269		3/30/04		Hearing Panel Decision in Market Regulation Department v. Anthony John Orlando, Jr., and Philip Anthony Orlando
CAF020022		3/10/04		Hearing Panel Decision in Department of Enforcement v. Hornblower & Weeks, Inc., John R. Rooney, Eric Ellenhorn, and Paul E. Taboada
C3A030012		2/18/04		Hearing Panel Decision in Department of Enforcement v. Gregory A. Eastman
C02020057		2/9/04		Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart
C3A030024		1/23/04		Hearing Panel Decision in Department of Enforcement v. Richard S. Jacobson
CAF030008		1/16/04		Hearing Panel Decision in Department of Enforcement v. Frank Peter Quattrone