FINRA - Regulatory Enforcement - OHO Disciplinary Decisions 2001

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Printer-Friendly 2001 Office of Hearing Officers Disciplinary Decisions

The following disciplinary decisions have been published, in accordance with Rule IM-8310-2, to assist visitors in researching NASD Hearing Panel disciplinary decisions. All Hearing Panel Decisions are based on the facts and circumstances arising in those disciplinary proceedings. Any Hearing Panel decision that has been appealed or called for review is marked with a *. Upon appeal or review, the National Adjudicatory Council may affirm, dismiss, modify, or reverse any of the findings made by the Hearing Panel; and the NAC may affirm, modify, reverse, increase, or reduce the sanctions imposed by the Hearing Panel, or may impose any other fitting sanctions.

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Decision Number	Decision Date

CMS000015*	12/28/01	Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc.
C3A010005	12/12/01	Hearing Panel Decision in Department of Enforcement v. Jay R. Rice
C01000037*	12/7/01	Hearing Panel Decision in Department of Enforcement v. Pacific On-Line Trading & Securities, Inc. and Timothy Alan McAdams
C3A010009*	11/20/01	Hearing Panel Decision in Department of Enforcement v. Mark H. Love
C06010015	11/15/01	Hearing Panel Decision in Department of Enforcement v. Tanya N. Vu
C05010012*	11/12/01	Hearing Panel Decision in Department of Enforcement v. Wendell D. Belden
C10000122*	10/22/01	Hearing Panel Decision in Department of Enforcement v. Vincent J. Puma
CMS000142*	10/15/01	Hearing Panel Decision in Department of Enforcement v. Ko Securities, Inc. and Terrance Yoshikawa
C9A000038	10/2/01	Hearing Panel Decision in Department of Enforcement v. Jeffrey L. Farley
C01000017	9/18/01	Hearing Panel Decision in Department of Enforcement v. Raymon Salinas
C9B000015	9/10/01	Hearing Panel Decision in Department of Enforcement v. Michael Dabney
CAF000030*	8/27/01	Hearing Panel Decision in Department of Enforcement v. Manuel M. Bello
C8A010014	8/20/01	Hearing Panel Decision in Department of Enforcement v. Salam Aburas
C10000046	8/3/01	Hearing Panel Decision in Department of Enforcement v. Quentin T. Quintana
C07000090	8/2/01	Hearing Panel Decision in Department of Enforcement v. Walter Reinhardt
C10000029	7/23/01	Hearing Panel Decision in Department of Enforcement v. Michael Henry Christ
C8A000059*	7/19/01	Hearing Panel Decision in Department of Enforcement v. Roger A. Hanson
C3A000054	6/28/01	Hearing Panel Decision in Department of Enforcement v. Robert M. McCulley
CAF000033*	6/27/01	Hearing Panel Decision in Department of Enforcement v. Dennis Sturm
CAF000040	6/26/01	Hearing Panel Decision in Department of Enforcement v. Michelle McDonough
C10000006	6/5/01	Hearing Panel Decision in Department of Enforcement v. Leonard Vincent Lombardo
C8B000013	5/29/01	Hearing Panel Decision in Department of Enforcement v. Patrick A. Brady
C3A990071	5/15/01	Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc., Dan D. Purjes, and Paul H. Fitzgerald
C05000021	5/14/01	Hearing Panel Decision in Department of Enforcement v. Charles K. Waddell
C10000140	5/14/01	Hearing Panel Decision in Department of Enforcement v. Mario J. Coniglione
C10000116	5/2/01	Hearing Panel Decision in Department of Enforcement v. Vincent P. Coniglione
C10000139	4/30/01	Hearing Panel Decision in Department of Enforcement v. Frank A. Persico
CAF000015*	4/18/01	Hearing Panel Decision in Department of Enforcement v. Josephthal & Co., Inc.
C9A990029	4/3/01	Hearing Panel Decision in Department of Enforcement v. Shannon Johnson
C07000058	3/23/01	Hearing Panel Decision in Department of Enforcement v. Russell Montgomery, Jr.
C9A000027*	3/8/01	Hearing Panel Decision in Department of Enforcement v. Luther A. Hanson
C07000003*	3/6/01	Hearing Panel Decision in Department of Enforcement v. Jack H. Stein
C02000037*	3/6/01	Hearing Panel Decision in Department of Enforcement v. Paul John Hoeper
C07000013	3/2/01	Hearing Panel Decision in Department of Enforcement v. John F. Brown
C8B000001	2/27/01	Hearing Panel Decision in Department of Enforcement v. Michael E. Zulick
C07000033*	2/8/01	Hearing Panel Decision in Department of Enforcement v. Franklyn Ross Michelin and LH Ross & Company, Inc.
C8A000024	2/2/01	Hearing Panel Decision in Department of Enforcement v. Paul E. Carney
C10000086	1/31/01	Hearing Panel Decision in Department of Enforcement v. Peter D. Ragofsky
C01000011	1/16/01	Hearing Panel Decision in Department of Enforcement v. W.R. Hambrecht & Co., LLC and William R. Hambrecht
C01000003*	1/3/01	Hearing Panel Decision in Department of Enforcement v. U.S. Rica Financial, Inc. and Vinh Huu Nguyen
C10000037*	1/3/01	Hearing Panel Decision in Department of Enforcement v. George M. Goritz

Adjudication

2001 Office of Hearing Officers Disciplinary Decisions