2011 OHO Disciplinary Decisions

Proceeding Number   Date
2010021916601   12/30/11   Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen  
2010021627601   12/29/11   Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman  
2007010158001   12/19/11   Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc.  
2008011762801   12/13/11   Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet  
2009018819001   12/6/11   Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette  
20080138685   11/22/11   Hearing Panel Decision in Department of Enforcement v. Ron William Howell  
2008014621701   11/8/11   Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr.  
2009018068701   10/17/11   Hearing Panel Decision in Department of Enforcement v. Harry W. Hunt  
2007010398802   10/13/11   Hearing Panel Decision in Department of Enforcement v. Alexander H. McKinnis  
2007008935010   10/4/11   Hearing Panel Decision in Department of Enforcement v. David Trende  
20090195518   10/3/11   Hearing Panel Decision in Department of Enforcement v. Darrell Eugene Fox  
2009019637001   9/19/11   Hearing Panel Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Thomas Thanh Doan  
2010023719601   9/15/11   Hearing Panel Decision in Department of Enforcement v. Chad A. McCartney  
20070072538-03   9/1/11   Amended Extended Hearing Panel Decision in Department of Enforcement v. Max International Broker-Dealer, Corp.  
2008011725901   6/24/11   Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro  
2008011701203   6/13/11   Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc.  
2008014712201   5/5/11   Hearing Panel Decision in Department of Enforcement v. Kirk L. Gravelle  
2007008239001   5/3/11   Hearing Panel Decision in Department of Enforcement v. ACAP Financial, Inc. and Gary Hume  
2009017775601   4/25/11   Hearing Panel Decision in Department of Enforcement v. Meyers Associates, LP  
2008011719501   3/30/11   Hearing Panel Decision in Department of Enforcement v. Tina Newman  
2006004666601   3/28/11   Hearing Panel Decision in Department of Enforcement v. Ryan J. Kirkpatrick  
2009016551301   3/8/11   Hearing Panel Decision in Department of Enforcement v. Freddy A. Medina  
2008012169101   3/3/11   Hearing Panel Decision in Department of Enforcement v. AIS Financial, Inc.  
2006004122402   1/26/11   Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre  
20080121376   1/7/11   Hearing Panel Decision in Department of Market Regulation v. Gregory Richard Imbruce  
20060052598-01   1/4/11   Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett