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2007 OHO Disciplinary Decisions | The following disciplinary decisions have been published, in accordance with Rule IM-8310-2, to assist visitors in researching FINRA 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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Proceeding Number
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Decision Date
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C10040052*
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12/19/07
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Hearing Panel Decision in Department of Enforcement v. Scott Mathis
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E8A2005014902*
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11/30/07
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Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak
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EAF0400300001*
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11/28/07
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Hearing Panel Decision in Department of Enforcement v. Kirlin Securities, Inc., Anthony J. Kirincic, David O. Lindner and Andrew J. Israel
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E102004083703*
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11/16/07
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Hearing Panel Decision in Department of Enforcement v. Harvey M. Schwartz
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2006004494201
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11/6/07
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Hearing Panel Decision in Department of Enforcement v. Todd William Cowle
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2006005936701
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11/6/07
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Hearing Panel Decision in Department of Enforcement v. William D. Mattes, Sr.
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ELI2004026701*
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11/1/07
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Hearing Panel Decision in Department of Enforcement v. Iftikhar Ul Haq
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C11040006*
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10/15/07
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Hearing Panel Decision in Department of Enforcement v. Justin F. Ficken
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2005001305701*
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9/27/07
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Hearing Panel Decision in Department of Enforcement v. Harvest Capital Investments, LLC and Dennis Cotto
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2006004240301
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9/7/07
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Hearing Panel Decision in Department of Enforcement v. Trent A. Johnson
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2005001819101*
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8/14/07
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Hearing Panel Decision in Department of Enforcement v. Domestic Securities, Inc.
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E8A20041203102
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7/31/07
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Hearing Panel Decision in Department of Enforcement v. Michelle M. Mayo
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E8A2002109804*
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7/27/07
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Hearing Panel Decision in Department of Enforcement v. Joseph A. Zaragoza
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E102004083702*
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7/13/07
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Hearing Panel Decision in Department of Enforcement v. John Christopher Correro
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E9A2004048801*
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7/12/07
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Hearing Panel Decision in Department of Enforcement v. Brian J. Kelly
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2005000960801
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7/2/07
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Hearing Panel Decision in Department of Enforcement v. Mangri Mohini Harlal
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20050025930
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6/19/07
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Hearing Panel Decision in Department of Enforcement v. Carolyn S. Everhard
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2005000078501
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5/25/07
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Hearing Panel Decision in Department of Market Regulation v. Mark Allen Borsky
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E8A2003091501
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5/18/07
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Hearing Panel Decision in Department of Enforcement v. Roy M. Strong
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2005000127502*
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4/24/07
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Hearing Panel Decision in Department of Market Regulation v. Steven Richard Jaloza, Neal Anthony Impellizeri, and Michael Raymond Gimeli
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E9B2002010501*
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4/24/07
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Hearing Panel Decision in Department of Enforcement v. Kevin M. Glodek
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2005002570601*
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4/20/07
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Hearing Panel Decision in Department of Enforcement v. Paul Douglas Paratore
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CLG050021*
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4/11/07
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Hearing Panel Decision in Department of Market Regulation v. John Patrick Leighton and Kenneth D. Pasternak
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2006004493301
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4/9/07
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Hearing Panel Decision in Department of Enforcement v. Mark S. Ritchey
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E9B2003026301*
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3/20/07
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Hearing Panel Decision in Department of Enforcement v. Timothy Behany, Edward M. VanGrouw, and Carl Martin Trevisan
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CLI050014
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2/20/07
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Hearing Panel Decision in Department of Enforcement v. Erik Matz
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