Proceeding Number		Date
E8A20050252		12/12/06		Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin
C8A050060		11/14/06		Hearing Panel Decision in Department of Enforcement vs. Karen Hill
CAF040058		10/26/06		Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou
C07050042		9/19/06		Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears
2005003490801		9/19/06		Hearing Panel Decision in Department of Enforcement vs. Kenneth D. Schacht
CAF030042		9/18/06		Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard
E102003130804		9/13/06		Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill
2005000631501		9/12/06		Hearing Panel Decision in Department of Enforcement vs. Bryan L. Claggett
E072004088501		9/11/06		Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava
E072004072501		9/8/06		Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin
CMS040165		9/7/06		Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian
CE3050003		8/30/06		Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc.
E8A2004095901		8/28/06		Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig
C07050029		8/10/06		Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano
C07050050		8/10/06		Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar
E9A2004001901		8/9/06		Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth
C05050015		8/1/06		Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne
C3B050012		7/28/06		Hearing Panel Decision in Department of Enforcement vs. Ronald Pellegrino
E8A2003080701		7/21/06		Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins
CAF040073		7/21/06		Hearing Panel Decision in Department of Enforcement vs. Morgan Keegan et al.
C8A050055		7/12/06		Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik
E0220030425-01*		6/9/06		Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz
CAF040052*		6/5/06		Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al.
E072004087801		5/22/06		Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen
CMS040202*		5/15/06		Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field
CLI050016		4/17/06		Hearing Panel Decision in Department of Enforcement vs. Frank P. Grasso
C05020055		3/16/06		Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel
CLG050049		3/3/06		Hearing Panel Decision in Department of Market Regulation vs. Shawn E. Aaron
C04050005*		3/1/06		Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong
C07040042*		2/10/06		Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske
C04050014*		2/10/06		Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper
C02040032*		2/1/06		Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort