2009 OHO Disciplinary Decisions

Proceeding Number   Date
2007009472201   12/30/09   Hearing Panel Decision in Department of Enforcement v. Warren William Wall  
2006006046401   12/18/09   Hearing Panel Decision in Department of Enforcement v. James Richard Willard, III  
2006007544401   12/3/09   Hearing Panel Decision in Department of Enforcement v. M. Paul De Vietien  
2007009848801   12/1/09   Hearing Panel Decision in Department of Enforcement v. Dante J. DiFrancesco  
2006005977901   10/16/09   Hearing Panel Decision in Department of Enforcement v. Kale E. Evans  
2007008358101   10/15/09   Hearing Panel Decision in Department of Enforcement v. Vincent P. McCrudden  
2009017496501   10/12/09   Hearing Panel Decision in Department of Enforcement v. Christopher J. Perrott  
20080120960   10/5/09   Hearing Panel Decision in Department of Enforcement v. Rebecca A. Reichman  
20070094253   10/1/09   Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia  
E3A20050037-02   9/22/09   Hearing Panel Decision in Department of Enforcement v. R. Matthew Shino  
2008013474501   9/14/09   Hearing Panel Decision in Department of Enforcement v. Daphne Easley  
2006003672401   8/31/09   Hearing Panel Decision in Department of Enforcement v. Patrick F. Harte, Jr.  
20070094345, 20070111775   8/25/09   Hearing Panel Decision in Department of Enforcement v. John Edward Mullins and Kathleen Maria Mullins  
2005001502703   7/21/09   Hearing Panel Decision in Department of Enforcement v. Ronald E. Hardy, Jr.  
2007010450601   7/14/09   Amended Hearing Panel Decision in Department of Enforcement v. Dennis Brown  
E8A2004072203   7/6/09   Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba  
2008012026601   6/9/09   Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin  
2007009082902   6/5/09   Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton  
2005000324301   6/2/09   Hearing Panel Decision in Department of Market Regulation v. Jerry William Burch  
2007007682501   5/15/09   Hearing Panel Decision in Department of Enforcement v. Jereis Khawaja  
2007010306901   5/13/09   Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2  
2005000075703   5/12/09   Amended Extended Hearing Panel Decision in Department of Enforcement v. Midas Securities LLC, World Trade Financial Corporation, Jason Troy Adams, Frank Edward Brickell, Jay S. Lee and Rodney Preston Michel  
2007008370701   5/8/09   Hearing Panel Decision in Department of Enforcement v. Scott R. Tischler  
2005000835801   5/8/09   Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier  
2006005696601   5/6/09   Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc.  
2007010236401   4/27/09   Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King  
2007008128901   4/21/09   Hearing Panel Decision in Department of Francis M. Evans  
2005003437102   4/17/09   Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock  
2005003295801   3/19/09   Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn  
2005000879302   3/12/09   Amended Extended Hearing Panel Decision in Department of Enforcement v. Legacy Trading Co., LLC and Mark Uselton  
2006005523401   2/10/09   Hearing Panel Decision in Department of Enforcement v. Nathan Lorne  
2005003188901   1/29/09   Amended Hearing Panel Decision in Department of Enforcement v. Richard G. Cody  
E072005017201   1/16/09   Hearing Panel Decision in Department of Enforcement v. John B. Busacca III