2003 National Adjudicatory Council Disciplinary Decisions

Proceeding Number   Date   Title
C8A020014   12/15/03   Brad A. Roethlisberger  
C3A010045   12/15/03   Investment Management Corp. and Kevin D. Kunz  
C3A020013   12/5/03   Joseph J. Vastano, Jr.  
C01010009   12/3/03   Chris Dinh Hartley  
CAF000013   11/14/03   Frank J. Skelly, III and Craig H. Gross  
C01000003   9/9/03   U.S. Rica Financial, Inc. and Vinh Huu Nguyen  
FPI020002   8/11/03   Bret Steinhart  
C10000122   8/11/03   Vincent J. Puma  
C02010041   8/8/03   Anthony H. Barkate  
FPI010004   5/21/03   Toni Valentino  
C3A010009   5/19/03   Mark H. Love  
CAF010009   5/7/03   Dane S. Faber  
CMS000015   5/7/03   Amr "Tony" Elgindy and Key West Securities, Inc.  
C05010017   5/6/03   James S. Davenport  
CAF010013   4/25/03   Timothy J. Ryan