Order CAF030007

Order Granting Complainant's Motion to Withdraw the Complaint, with Prejudice

May 31, 2006

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Hearing Panel Decision in Department of Enforcement v. Keith D. Geary
Hearing Panel Decision in Department of Enforcement v. Jack Brian Weinstock
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Extended Hearing Panel Decision in Department of Enforcement v. James E. Rooney, Jr.
Hearing Panel Decision in Department of Enforcement v. Joseph R. Butler
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Hearing Panel Decision in Department of Market Regulation v. Jonathan Kohanof
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Hearing Panel Decision in Department of Enforcement v. Success Trade Securities, Inc. and Fuad Ahmed
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Hearing Panel Decision in Department of Enforcement v. Ashik Akberali Kapasi
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Hearing Panel Decision in Department of Enforcement v. Roric E. Griffith
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Hearing Panel Decision in Department of Enforcement v.John Allan Waldock, Jr.
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Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak
Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley
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Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune
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Hearing Panel Decision in Department of Enforcement v. David Harari and Sian Harari
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Hearing Panel Decision in Department of Enforcement v. John Vincent Ballard
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Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al.
Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz
Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong
Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field
Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper
Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske
Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort
Hearing Panel Decision in Department of Enforcement vs. Marylan Taylor
Hearing Panel Decision in Department of Enforcement vs. Sterling Scott Lee & Dennis Todd Lloyd Gordon
Hearing Panel Decision in Department of Enforcement vs. Kenneth Christopher Shelley
Hearing Panel Decision in Department of Enforcement vs. Morton Bruce Erenstein
Hearing Panel Decision in Department of Enforcement vs. Sisung Securities Corporation et al.
Hearing Panel Decision in Department of Enforcement vs. Scott Epstein
Hearing Panel Decision in Department of Enforcement vs. Charles J. Cuozzo, Jr.
Amended Hearing Panel Decision in Department of Enforcement v. Respondent
Hearing Panel Decision in Department of Enforcement v. Kam Poi Yee
Hearing Panel Decision in Department of Enforcement v. Kenny Akindemowo
Hearing Panel Decision in Department of Enforcement v. Rani T. Jarkas and William H. Carson
Amended Hearing Panel Decision in Department of Enforcement v. Gardnyr Michael Capital Inc. and Pfilip Gardnyr Hunt, Jr.
Hearing Panel Decision in Department of Enforcement v. Stephen Grivas
Extended Hearing Panel Decision in Department of Enforcement v. Timothy B. Ruggiero
Extended Hearing Panel Decision in Department of Enforcement v. Richard Hans Bach
Hearing Panel Decision in Department of Market Regulation v. John Cherry III
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Hearing Panel Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc.
Hearing Panel Decision in Department of Enforcement v. Highland Financial, LTD. and Gordon D. Smith.
Hearing Panel Decision in Department of Enforcement v. Respondent.
Hearing Panel Decision in Department of Enforcement v. William L. Tatro
Hearing Panel Decision in Department of Enforcement v. Jason Blum
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Extended Hearing Panel Decision in Department of Market Regulation v. Respondent
Amended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel
Hearing Panel Decision in Department of Enforcement v. Gregg Charles Lorenzo
Amended Hearing Panel Decision in Department of Enforcement v. Gary Mark Giblen
Hearing Panel Decision in Department of Enforcement v. Ronald Moschetta
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Hearing Panel Decision in Department of Enforcement v. William Scholander and Talman Harris
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Hearing Panel Decision in Department of Enforcement v. Levinski Dealexis Barnes
Extended Hearing Panel Decision in Department of Enforcement v. Respondent
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Extended Hearing Panel Decision in Department of Enforcement v. William B. Fretz, Jr., John P. Freeman, and The Keystone Equities Group, LP
Hearing Panel Decision in Department of Enforcement v. Anthony G. Manaia
Hearing Panel Decision in Department of Enforcement v. Stephen Yarkpazuo Jensen
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Hearing Panel Decision in Department of Enforcement v. Anthony A. Grey.
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Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III
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Hearing Panel Decision in Department of Enforcement v. Steven Robert Tomlinson
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Hearing Panel Decision in Department of Enforcement v. Michael Pino
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Hearing Panel Decision in Department of Enforcement v. Angelo Xagoraris
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Hearing Panel Decision in Department of Enforcement v. Timothy M. Wheeler
Hearing Panel Decision in Department of Enforcement v. Denise M. Olson
Hearing Panel Decision in Department of Enforcement v. Jeffrey S. Geraci
Extended Hearing Panel Decision in Depatment of Enforcement v. Respondent 1 and Respondent 2
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Hearing Panel Decision in Department of Enforcement v. William B. Smith
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Hearing Panel Decision in Department of Enforcement v. Shlomi S. Eplboim
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Hearing Panel Decision in Department of Enforcement v. Robert Durant Tucker
Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro
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Amended Hearing Panel Decision in Department of Enforcement v. Michael Jennings, Brian Mulvey and Respondent 3
Extended Hearing Panel Decision in Department of Enforcement v. Wedbush Securities Inc. and Edward W. Wedbush
Hearing Panel Decision in Department of Enforcement v. Michael A. McIntyre
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Hearing Panel Decision in Department of Enforcement v. Blair A. West
Amended Hearing Panel Decision in Department of Enforcement v. William M. Somerindyke, Jr. and Respondent 2
Hearing Panel Decision Granting Department of Enforcement’s Motion for Summary Disposition in Department of Enforcement v. Ronald E. Walblay
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Hearing Panel Decision in Department of Enforcement v. Richard N. Maruyama
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Hearing Panel Decision in Department of Enforcement v. Hugh Vincent Murray III
Hearing Panel Decision in Department of Enforcement v. Amy Siesennop
Extended Hearing Panel Decision in Department of Enforcement v. The Dratel Group, Inc. and William M. Dratel
Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier
Hearing Panel Decision in Department of Enforcement v. Jeremy D. Hare
Hearing Panel Decision in Department of Enforcement v. Respondent
Hearing Panel Decision in Department of Enforcement v. Respondent
Extended Hearing Panel Decision in Department of Enforcement v. Respondent
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Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc.
Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth
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Hearing Panel Decision in Department of Enforcement v. Joseph S. Amundsen
Amended Hearing Panel Decision in Department of Enforcement v. Timothy L. Pittman
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Hearing Panel Decision in Department of Enforcement v. CapWest Securities Inc.
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Amended Hearing Panel Decision in Department of Enforcement v. Mitchell Fillet
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Extended Hearing Panel Decision in Department of Enforcement v. Nicholas D. Skaltsounis, Respondent 2, and John B. Guyette
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Hearing Panel Decision in Department of Enforcement v. Ron William Howell
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Extended Hearing Panel Decision in Department of Enforcement v. Thomas Weisel Partners, LLC and Stephen H. Brinck, Jr.
Hearing Panel Decision in Department of Enforcement v. Harvey M. Schwartz
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Hearing Panel Decision in Department of Enforcement v. Respondent
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Hearing Panel Decision in Department of Enforcement v. Respondent
Hearing Panel Decision in Department of Enforcement v. Timothy James Fergus, Frank Thomas Devine, and Richard Alan Blake
Hearing Panel Decision in Department of Enforcement v. Paul James Marshall
Hearing Panel Decision in Department of Enforcement v. Jeffrey B. Pierce
Amended Hearing Panel Decision in Department of Enforcement v. Christopher Robert Ranni
Hearing Panel Decision in Department of Enforcement v. Timothy Joseph Golonka
Hearing Panel Decision in Department of Enforcement v. Daniel Edward Becerril, II
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Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson
Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan
Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears
Hearing Panel Decision in Department of Enforcement v. Bradford Orosey
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Hearing Panel Decision in Department of Enforcement v. Trent Tremayne Hughes
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Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi
Hearing Panel Decision in Department of Enforcement v. Paul Joseph Benz
Hearing Panel Decision in Department of Enforcement v. Nathan Lorne
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Amended Extended Hearing Panel Decision in Department of Enforcement v. Legacy Trading Co., LLC and Mark Uselton
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Amended Extended Hearing Panel Decision in Department of Enforcement v. Andrew W. Quinn
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Extended Hearing Panel Decision in Department of Enforcement v. Michael Lee Bullock
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Hearing Panel Decision in Department of Francis M. Evans
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Hearing Panel Decision in Department of Enforcement v. Valerie Elaine King
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Hearing Panel Decision in Department of Market Regulation v. Robert Marcus Lane and Jeffrey Griffin Lane
Hearing Panel Decision in Department of Market Regulation v. Robert N. Drake
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Extended Hearing Panel Decision in Department of Enforcement v. Brookstone Securities, Inc., Antony Lee Turbeville, Christopher Dean Kline, and David William Locy
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Amended Hearing Panel Decision in Department of Enforcement v. Jeff Ng
Hearing Panel Decision in Department of Enforcement v. Respondent
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Amended Hearing Panel Decision in Department of Enforcement v. Randy Carlson
Hearing Panel Decision in Department of Enforcement v. John D. Rausch
Hearing Panel Decision in Department of Enforcement v. Respondents
Hearing Panel Decision in Department of Enforcement v. LH Ross & Company, Inc.
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Hearing Panel Decision in Department of Enforcement v. Alan J. Davidofsky
Extended Hearing Panel Decision in Department of Enforcement v. David Lerner Associates, Inc. and William Mason
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Hearing Panel Decision in Department of Enforcement v. Dame Cisse
Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak
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Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan
Hearing Panel Decision in Department of Enforcement vs. Jimmie Lee Griffith
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Hearing Panel Decision as to Respondent IA and GH
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Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken
Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian
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Hearing Panel Decision in Department of Enforcement v. Thomas H. Morrow
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Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin
Hearing Panel Decision in Department of Enforcement v. Daniel Richard Howard
Hearing Panel Decision in Department of Enforcement v. Anthony H. Barkate
Hearing Panel Decision in Department of Market Regulation v. Terrance Yoshikawa
Hearing Panel Decision in Department of Enforcement vs. Roger P. May
Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak
Hearing Panel Decision as to Respondent
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Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson
Hearing Panel Decision in Department of Enforcement vs. Charles C. Fawcett, IV
Hearing Panel Decision in Department of Enforcement v. Patterson Travis, Inc., David T. Travis, Eric H. Dieffenbach, and Michel A. Rooms
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Hearing Panel Decision in Department of Enforcement v. Brent K. Deviney
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Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza
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Hearing Panel Decision in Department of Enforcement v. Joseph J. Vastano, Jr.
Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached
Hearing Panel Decision in Department of Enforcement v. Todd Grafenauer
Hearing Panel Decision as to Respondent
Hearing Panel Decision as to Respondent
Hearing Panel Decision in Department of Enforcement vs. Christopher W. Black
Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello
Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc.
Hearing Panel Decision in Department of Enforcement v. Richard Stephen Levitov; Hearing Panel Decision in Department of Enforcement v. Ralph Joseph Angeline
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Hearing Panel Decision in Department of Enforcement v. Harrison A. Hatzis
Hearing Panel Decision in Department of Enforcement v. Angela Dionne Reed
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Hearing Panel Decision in Department of Enforcement v. Richard Michael Bowers
Hearing Panel Decision in Department of Enforcement v. Noble B. Trenham
Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson
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Hearing Panel Decision in Department of Enforcement v. Sterne, Agee & Leach, Inc.
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Hearing Panel Decision in Department of Enforcement v. D.L. Cromwell Investments, Inc., David Davidson, Lloyd Beirne, and Eric Thomes
Hearing Panel Decision in Department of Enforcement v. Robert Conway and Kakit Ng
Amended Hearing Panel Decision in Department of Enforcement v. Dirk Allen Taylor
Hearing Panel Decision in Department of Enforcement v. Ryan A. Leopold
Hearing Panel Decision in Department of Enforcement v. Howard Braff
Hearing Panel Decision in Department of Enforcement v. Robert D. Tucker
Extended Hearing Panel Decision in Department of Enforcement v. William J. Murphy, Carl M. Birkelbach, and Respondent Firm
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Hearing Panel Decision in Department of Enforcement v. Respondent
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Hearing Panel Decision in Department of Enforcement v. Joseph Ricupero
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Amended Hearing Panel Decision in Department of Enforcement v. Mark B. Beloyan and Tradespot Markets, Inc.
Extended Hearing Panel Decision in Department of Enforcement v. Edward S. Brokaw
Hearing Panel Decision in Department of Enforcement v. Kevin Scott Pound
Hearing Panel Decision in Department of Enforcement v. Nicholas Michael Rubino
Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf
Hearing Panel Decision in Department of Enforcement v. Daniel Eric Kelsey
Hearing Panel Decision in Department of Enforcement v. Gordon Kerr
Hearing Panel Decision in Department of Enforcement v. Demetrios Zouloufis
Hearing Panel Decision in Department of Enforcement v. John Michael Brack
Hearing Panel Decision in Department of Enforcement v. Christopher R. Van Dyk
Hearing Panel Decision in Department of Enforcement vs. Nicholas R. Sciascia
Hearing Panel Decision in Department of Enforcement v. Jonathan M. Skiba
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Hearing Panel Decision in Department of Enforcement v. CMG Institutional Trading, LLC and Shawn D. Baldwin
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Hearing Panel Decision in Department of Enforcement v. Richard A. Neaton
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Hearing Panel Decision in Department of Market Regulation v. Jerry William Burch
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Hearing Panel Decision in Department of Enforcement v. Jereis Khawaja
Hearing Panel Decision in Department of Enforcement v. FCS Securities and Respondent 2
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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
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Hearing Panel Decision in Department of Enforcement v. Scott R. Tischler
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Hearing Panel Decision in Department of Enforcement v. Harry Friedman and Joseph Schnaier
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Hearing Panel Decision in Department of Enforcement v. Westrock Advisors, Inc.
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Hearing Panel Decision in Department of Enforcement v. Dennis Sturm
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Hearing Panel Decision in Department of Enforcement v. Robert Tretiak
Hearing Panel Decision in Department of Enforcement v. Respondent
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Hearing Panel Decision as to Respondent
Hearing Panel Decision in Department of Enforcement v. Jay R. Rice
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Hearing Panel Decision in Department of Enforcement v. Respondent
Extended Hearing Panel Decision in Department of Enforcement v. Respondent
Hearing Panel Decision in Department of Enforcement v. Richard L. Newburg
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Hearing Panel Decision in Department of Enforcement vs. Beerbaum & Beerbaum Financial and Insurance Services, Inc.
Hearing Panel Decision in Department of Enforcement vs. Ronald Pellegrino
Hearing Panel Decision in Department of Enforcement v. Scott Mathis
Hearing Panel Decision in Department of Enforcement vs. Gregory R. Masceri
Hearing Panel Decision in Department of Enforcement v. Jennifer Jordan
Hearing Panel Decision in Department of Enforcement v. Paul-Bryan Zenke
Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen
Hearing Panel Decision in Department of Enforcement v. Robert Tretiak
Hearing Panel Decision in Market Regulation Department v. Anthony John Orlando, Jr., and Philip Anthony Orlando
Hearing Panel Decision in Department of Enforcement v. Marc Winters
Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger
Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne
Hearing Panel Decision in Department of Market Regulation v. Gregory Richard Imbruce
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Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre
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Amended Hearing Panel Decision in Department of Enforcement v. John Joseph Plunkett
Hearing Panel Decision in Department of Enforcement v. Guang Lu
Hearing Panel Decision in Department of Enforcement v. Robert FitzPatrick
Hearing Panel Decision in Department of Enforcement v. Michael F. Siegel
Hearing Panel Decision in Department of Market Regulation v. Paul M. Giarmoleo
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Hearing Panel Decision in Department of Enforcement v. VMR Capital Markets US and Todd M. Ficeto
Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis
Hearing Panel Decision in Department of Enforcement v. Jim Newcomb
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Hearing Panel Decision in Department of Enforcement v. Yakov (Jack) Koppel
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Hearing Panel Decision in Department of Enforcement v. Gregory A. Eastman
Hearing Panel Decision in Department of Enforcement v. Marcus K. Hughes and Christopher Aden
Hearing Panel Decision in Department of Enforcement v. Joseph Abbondante
Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma
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Hearing Panel Decision in Department of Enforcement v. Freddy A. Medina
Extended Hearing Panel Decision in Department of Enforcement v. Respondent
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Hearing Panel Decision in Department of Enforcement v. AIS Financial, Inc.
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Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc.
Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken
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Hearing Panel Decision in Department of Enforcement v. James B. Chase
Amended Hearing Panel Decision in Department of Enforcement v. Michael A. Usher
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Hearing Panel Decision as to Respondent
Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
Hearing Panel Decision in Department of Enforcement v. Phillippe N. Keyes
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Hearing Panel Decision in Department of Enforcement v. Respondent
Extended Hearing Panel Decision in Department of Enforcement v. Respondent
Hearing Panel Decision in Department of Market Regulation v. Respondent
Hearing Panel Decision in Department of Enforcement v. Dallas R. Seagraves, II
Hearing Decision in Department of Enforcement v. Merrimac Corporate Securities, Inc.
Hearing Panel Decision in Department of Enforcement v. Thomas J. Charles, Jr.
Hearing Panel Decsion in Department of Enforcement v. Joseph A. Padilla and Andrea M. Ritchie
Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds
Hearing Panel Decision in Department of Enforcement v. Joseph A. Geraci, II
Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli
Hearing Panel Decision in Department of Enforcement v. Roy M. Strong
Hearning Panel Decision in Department of Member Regulation v. Sharemaster
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Hearning Panel Decision in Department of Member Regulation v. Gremo Investments, Inc.
Hearing Panel Decision in Department of Enforcement v. Jay A. Ochanpaugh
Hearing Panel Decision in Department of Enforcement v. Shane A. Selewach
Hearing Panel Decision in Department of Enforcement v. J. Alexander Securities, Inc., Richard Newberg, and James Alexander
Hearing Panel Decision in Department of Enforcement vs. Karen Hill
Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma
Hearing Panel Decision in Department of Enforcement vs. Asensio Brokerage Services, Inc.
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Hearing Panel Decision in Department of Enforcement v. Berry-Shino Securities, Inc. and R. Matthew Shino
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Hearing Panel Decision in Department of Enforcement v. Raghavan Sathianathan
Hearing Panel Decision in Department of Enforcement vs. Robert M. Ryerson
Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin
Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez
Order and Decision Granting Enforcement's Motion for Summary Disposition in Department of Enforcement v. Terry Don Rader
Hearing Panel Decision in Department of Enforcement vs. John Audifferen
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Hearing Panel Decision in Department of Enforcement v. Elliot M. Hershberg
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Hearing Panel Decision in Department of Enforcement v. Richard S. Jacobson
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Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp.
Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek
Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar
Hearing Panel Decision in Department of Enforcement v. Justin E. Apgar
Hearing Panel Decision in Department of Enforcement v. Thomas A. Timberlake
Hearing Panel Decision in Department of Market Regulation v. John Patrick Leighton and Kenneth D. Pasternak
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Hearing Panel Decision in Department of Enforcement vs. Charles A. DaCruz & Thomas J. Linda
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Hearing Panel Decision in Department of Enforcement v. Daniel James Gallagher and Vision Securities Inc.
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Hearing Panel Decision in Department of Enforcement v. Carlos Francisco Otalvaro
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Hearing Panel Decision in Department of Enforcement vs. Thomas James Carr
Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc.
Hearing Panel Decision in Department of Enforcement v. Rooney A. Sahai
Hearing Panel Decision in Department of Enforcement v. Scott Wiard and James Reisinger
Hearing Panel Decision in Department of Enforcement v. Brookes McIntosh Bendetsen
Hearing Panel Decision in Department of Enforcement v. Castle Securities Corp., Michael Studer, and Respondent 3
Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper
Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc.
Hearing Panel Decision in Department of Enforcement v. Alvin W. Gebhart, Jr. and Donna T. Gebhart
Hearing Panel Decision in Department of Enforcement v. Robert J. Kendzierski