2004 OHO Disciplinary Decisions

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  
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  
CLI030011   6/7/04   Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis  
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  
C8A030034   4/26/04   Hearing Panel Decision in Department of Enforcement v. James Barrick  
C01030004   4/26/04   Hearing Panel Decision in Department of Enforcement v. Tad Enrique Mihalopoulos, Sr.  
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