2013 OHO Disciplinary Decisions

Proceeding Number   Date
2008011675301   12/31/13   Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero  
2011025506901   12/27/13   Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach  
20110269351   12/17/13   Hearing Panel Decision in Department of Market Regulation v. John Cherry III  
20090209629-01   12/12/13   Hearing Panel Decision in Department of Enforcement v. Jason Blum  
2011026874301   12/10/13   Hearing Panel Decision in Department of Enforcement v. William L. Tatro  
2009017195204   11/19/13   Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc.  
2010024917601   10/15/13   Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta  
2011025591601   9/27/13   Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith.  
20120321124-01   9/27/13   Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo  
2009016317701   9/19/13   Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel  
2011025957702   9/17/13   Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen  
2009019108901   8/16/13   Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris  
2010024271001   7/18/13   Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes  
2009018818101   6/28/13   Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia  
2009016034101   6/20/13   Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey.  
2010024062601   6/11/13   Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen  
2010024889501   5/30/13   Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP  
2011030192201   4/15/13   Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III  
2009017527501   3/21/13   Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson  
2010024837301   3/21/13   Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro  
2010021621201   3/15/13   Hearing Panel Decision in Department of Enforcement v. Michael Pino  
20080127674, 20080133768   3/15/13   Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris  
2011025674101   3/12/13   Hearing Panel Decision in Department of Enforcement v. Shlomi S. Eplboim  
2008013864401   3/4/13   Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3  
2010024320101   2/26/13   Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler  
2011029760201   2/21/13   Hearing Panel Decision Granting in Part and Denying in Part the Parties’ Cross-Motions for Summary Disposition in Departement of Enforcement v. Charles Schwab & Company, Inc.  
2011029152401   2/19/13   Hearing Panel Decision in Department of Enforcement v. William B. Smith  
2010023044101   1/18/13   Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci  
2009016764901   1/11/13   Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker  
2010023349601   1/4/13   Hearing Panel Decision in Department of Enforcement v. Denise M. Olson