2006 OHO Disciplinary Decisions

Proceeding Number   Date
E8A20050252   12/12/06   Hearing Panel Decision in Department of Enforcement vs. CMG Institutional Trading, LLC and Shawn D. Baldwin  
C8A050060   11/14/06   Hearing Panel Decision in Department of Enforcement vs. Karen Hill  
CAF040058   10/26/06   Hearing Panel Decision in Department of Enforcement vs. Andrew P. Gonchar and Polyvios T. Polyviou  
C07050042   9/19/06   Hearing Panel Decision in Department of Enforcement vs. Wanda P. Sears  
2005003490801   9/19/06   Hearing Panel Decision in Department of Enforcement vs. Kenneth D. Schacht  
CAF030042   9/18/06   Hearing Panel Decision in Department of Enforcement vs. Florence Sarah Pollard  
E102003130804   9/13/06   Hearing Panel Decision in Department of Enforcement vs. Michael Francis O'Neill  
2005000631501   9/12/06   Hearing Panel Decision in Department of Enforcement vs. Bryan L. Claggett  
E072004088501   9/11/06   Hearing Panel Decision in Department of Enforcement vs. Fausto E. Callava  
E072004072501   9/8/06   Hearing Panel Decision in Department of Enforcement vs. Andrew J. Hardin  
CMS040165   9/7/06   Hearing Panel Decision in Department of Market Regulation vs. Ara Proudian  
CE3050003   8/30/06   Hearing Panel Decision in Department of Enforcement vs. American Funds Distributors, Inc.  
E8A2004095901   8/28/06   Hearing Panel Decision in Department of Enforcement vs. Jason A. Craig  
C07050050   8/10/06   Hearing Panel Decision in Department of Enforcement vs. Stephen P. Dunbar  
C07050029   8/10/06   Hearing Panel Decision in Department of Enforcement vs. Anthony Cipriano  
E9A2004001901   8/9/06   Hearing Panel Decision in Department of Enforcement vs. Douglas J. Toth  
C05050015   8/1/06   Hearing Panel Decision in Department of Enforcement vs. Kevin Calandro and James W. Browne  
C3B050012   7/28/06   Hearing Panel Decision in Department of Enforcement vs. Ronald Pellegrino  
CAF040073   7/21/06   Hearing Panel Decision in Department of Enforcement vs. Morgan Keegan et al.  
E8A2003080701   7/21/06   Hearing Panel Decision in Department of Enforcement vs. Robert E. Elkins  
C8A050055   7/12/06   Hearing Panel Decision in Department of Enforcement vs. Daniel W. Bukovcik  
E0220030425-01*   6/9/06   Hearing Panel Decision in Department of Enforcement vs. Geoffrey Ortiz  
CAF040052*   6/5/06   Hearing Panel Decision in Department of Enforcement vs. Jericho Nicolas et al.  
E072004087801   5/22/06   Hearing Panel Decision in Department of Enforcement vs. Hung The Nguyen  
CMS040202*   5/15/06   Hearing Panel Decision in Department of Market Regulation vs. Marshall J. Field  
CLI050016   4/17/06   Hearing Panel Decision in Department of Enforcement vs. Frank P. Grasso  
C05020055   3/16/06   Hearing Panel Decision in Department of Enforcement vs. Michael F. Siegel  
CLG050049   3/3/06   Hearing Panel Decision in Department of Market Regulation vs. Shawn E. Aaron  
C04050005*   3/1/06   Hearing Panel Decision in Department of Enforcement vs. Robert E. Strong  
C04050014*   2/10/06   Hearing Panel Decision in Department of Enforcement vs. Dennis P. Cooper  
C07040042*   2/10/06   Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske  
C02040032*   2/1/06   Hearing Panel Decision in Department of Enforcement vs. Dana N. Frankfort