2000 OHO Disciplinary Decisions

Proceeding Number   Date
C9B000007   12/27/00   Hearing Panel Decision in Department of Enforcement v. Frank Anthony Cardia, Jr. and Robert Daniel Louis  
CAF980002   12/6/00   Hearing Panel Decision as to Respondents John Fiero and Fiero Brothers, Inc.  
C05990035   11/6/00   Hearing Panel Decision on Remand in Department of Enforcement v. John Lawson Greer, III  
C10990121   10/20/00   Hearing Panel Decision on Remand in Department of Enforcement v. Nelson C. Onyejiaka  
C3A990031   10/3/00   Hearing Panel Decision on Remand in Department of Enforcement v. Charles W. Testino  
C8A990081   9/25/00   Hearing Panel Decision in Department of Enforcement v. James B. Chase  
CAF990018   9/13/00   Hearing Panel Decision in Department of Enforcement v. Premier Capital Management, Bryan James O'Leary, and Ryan Mark Reynolds  
C05000002   9/5/00   Hearing Panel Decision in Department of Enforcement v. Richard A. Frondorf  
C05990026   9/5/00   Hearing Panel Decision in Department of Enforcement v. Christopher M. Block, Jeffrey S. Burke, and Jennifer L. Gonzalez  
C02990022   8/28/00   Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace  
C05990019   8/22/00   Hearing Panel Decision in Department of Enforcement v. Gerard J. D'Amaro  
C05990019   8/22/00   Order Granting Partial Summary Disposition In Favor Of The Department Of Enforcement And Continuing This Proceeding For Hearing On Sanctions  
C8A980097   7/28/00   Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan  
C02990052   6/27/00   Hearing Panel Decision in Department of Enforcement v. Shailesh B. Patel  
C10990121   6/23/00   Majority Hearing Panel Decision in Department of Enforcement v. Nelson C. Onyejiaka - Dissent Attached  
C8A990025   6/13/00   Hearing Panel Decision in Department of Enforcement v. Timothy James Fergus, Frank Thomas Devine, and Richard Alan Blake  
C10990172   6/12/00   Hearing Panel Decision in Department of Enforcement v. John L. Bauer  
C07990033   6/8/00   Hearing Panel Decision in Department of Enforcement v. Len K. Furman  
C9A990007   6/6/00   Hearing Panel Decision in Department of Enforcement v. Daniel D. Manoff  
C05990034   6/5/00   Hearing Panel Decision in Department of Enforcement v. Charles Douglas Gulley, Jr.  
C8A990032   4/24/00   Hearing Panel Decision in Department of Enforcement v. Marcus K. Hughes and Christopher Aden  
C10970176   3/28/00   Hearing Panel Decision in Department of Enforcement v. SFI Investments, Inc., Kevin M. Smith, and Jeffrey B. Bronfman  
C10990014   3/20/00   Hearing Panel Decision in Department of Enforcement v. Stephen Earl Prout  
C02980085   3/10/00   Hearing Panel Decision in Department of Enforcement v. Robert Tretiak  
C3A990031   3/9/00   Hearing Panel Decision in Department of Enforcement v. Charles W. Testino  
C02990042   3/6/00   Hearing Panel Decision in Department of Enforcement v. Robert Tretiak  
C8B990036   3/6/00   Hearing Panel Decision in Department of Enforcement v. Samuel Wereb  
C10990024   2/17/00   Hearing Panel Decision in Department of Enforcement v. Averell Golub  
C02980024   2/16/00   Hearing Panel Decision in Department of Enforcement v. Robert Joseph Kernweis, William Pohn Willis, Arnold Hinsdale Kraus, and Keith Allen Dieterich  
C02990034   2/8/00   Hearing Panel Decision in Department of Enforcement v. I.C. Rideau, Lyons, & Co., Inc., Lamar A. Lyons, Sr., and Joyce A. Green  
C02990017   1/13/00   Hearing Panel Decision in Department of Enforcement v. Dennis Frank Riggi  
C3A990050   1/13/00   Hearing Panel Decision in Department of Enforcement v. Jim Newcomb