March 15, 2024 |
2018057297102 |
Order Following Pre-Hearing Conference Regarding Respondent’s March 14, 2024 Email Communication Concerning Jury Summons
|
Disciplinary Order |
24-07 |
February 28, 2024 |
2019061942901 |
APPEALED:
Michael Ciro Colletti
|
Disciplinary Decision |
|
February 07, 2024 |
2019064508802 |
Order Denying Respondent’s Motion for Leave to Permit Expert Testimony
|
Disciplinary Order |
24-06 |
February 06, 2024 |
2021071094401 |
Amended Order Relating to Audio Files
|
Disciplinary Order |
24-05 |
January 31, 2024 |
2023077669201 |
Damian M. Baird
|
Disciplinary Decision - Default |
|
January 25, 2024 |
2017055886402 |
Cantone Research Inc., Anthony J. Cantone, and Raymond J. DeRobbio
|
Disciplinary Decision |
|
January 23, 2024 |
2018060897302 |
Darren M. Kubiak
|
Disciplinary Decision - Default |
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January 17, 2024 |
2018057297102 |
Order Granting in Part, and Denying, in Part, Enforcement’s Consent Motion for Leave to Offer Telephone or Videoconference Testimony
|
Disciplinary Order |
24-04 |
January 05, 2024 |
2019064508802 |
Order Denying Respondent’s Second Revised FINRA Rule 9251 Motion
|
Disciplinary Order |
24-03 |
January 03, 2024 |
2019063152202 |
Order Denying Respondent’s FINRA Rule 9252 Motion to Compel Production of Documents
|
Disciplinary Order |
24-02 |
January 02, 2024 |
2019064508802 |
Amended Order Denying Respondent’s Second Revised FINRA Rule 9252 Motion
|
Disciplinary Order |
24-01 |
December 20, 2023 |
2018057297102 |
Order Denying Respondent’s Motion for Exception to FINRA Rule 9242 and Ordering Him to Comply with the Case Management and Scheduling Order
|
Disciplinary Order |
23-29 |
December 01, 2023 |
DFC230002 |
Arque Capital, Ltd.
|
Expedited Decision |
|
October 31, 2023 |
2018057297102 |
Order Regarding Hearing Venue
|
Disciplinary Order |
23-28 |
October 11, 2023 |
2018057297102 |
Order Denying Respondent’s Motion for Withheld Documents List
|
Disciplinary Order |
23-27 |
October 05, 2023 |
FPI230003 |
Securities Capital Corporation
|
Expedited Decision |
|
October 04, 2023 |
ARB230012 |
John Knox Goodwin
|
Expedited Decision |
|
September 26, 2023 |
2020065396501 |
APPEALED:
Peter J. Fetherston
|
Disciplinary Decision |
|
September 20, 2023 |
2019063152202 |
Order Denying Respondent’s Motion for Stay
|
Disciplinary Order |
23-26 |
September 14, 2023 |
2020066627202 |
Order Governing FINRA Rule 9285 Motion
|
Disciplinary Order |
23-25 |
July 24, 2023 |
2022074278301 |
BrokerBank Securities, et al.
|
Disciplinary Decision - Default |
|
July 21, 2023 |
2021071137001 |
Order Governing the Use of Leading Questions to Former Employees of Respondent Lek Securities Corporation
|
Disciplinary Order |
23-24 |
July 19, 2023 |
2021071137001 |
Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280
|
Disciplinary Order |
23-23 |
July 17, 2023 |
2021071137001 |
Order Deferring Ruling on Lek Securities Corp. and Charles Frederik Lek’s Motion in Limine to Exclude Certain Evidence
|
Disciplinary Order |
23-22 |
July 14, 2023 |
2020066627202 |
APPEALED:
Suzanne Marie Capellini
|
Disciplinary Decision |
|