April 07, 2017 |
2015045601401 |
Katherine Ann White
|
Disciplinary Decision |
|
April 04, 2017 |
2014040338401 |
Tracy Rae Turner
|
Disciplinary Decision - Default |
|
March 31, 2017 |
2015045207702 |
Clay Emerson Hoffman
|
Disciplinary Decision - Default |
|
March 24, 2017 |
2015046020001 |
Fernando De la Lama Merino
|
Disciplinary Decision - Default |
|
March 21, 2017 |
2014038847602 |
Order Denying Motion to Quash and Requiring Respondent to Respond to Rule 8210 Requests No Later Than March 31, 2017.
|
Disciplinary Order |
17-08 |
March 21, 2017 |
2013035817701 |
Order 1) Granting Enforcement’s Motion For Leave to Permit Expert Testimony and 2) Amending Case Management and Scheduling Order Regarding Filing Exhibits.
|
Disciplinary Order |
17-07 |
March 21, 2017 |
2013035865303 |
APPEALED:
Spencer Edwards, Inc. and Gordon Dihle
|
Disciplinary Decision |
|
March 21, 2017 |
2014038847602 |
Order Denying Respondent’s Motion to Compel Discovery.
|
Disciplinary Order |
17-06 |
March 17, 2017 |
2011029549201 |
Craig G. Langweiler
|
Disciplinary Decision |
|
March 16, 2017 |
ARB160047 |
J. Thaddeus McGaffey
|
Expedited Decision |
|
March 16, 2017 |
2015044921601 |
Order Denying Respondent’s Motion for Leave to Present Expert Testimony
|
Disciplinary Order |
17-05 |
March 08, 2017 |
2015044921601 |
Order Denying Respondent’s Discovery Motion.
|
Disciplinary Order |
17-04 |
March 07, 2017 |
2013035902701 |
Glenn McDowell
|
Disciplinary Decision - Default |
|
March 06, 2017 |
2015044198601 |
Michael Jean-Paul Mason
|
Disciplinary Decision - Default |
|
March 03, 2017 |
2014039285401 |
APPEALED:
Southeast, N.C., Inc. and Frank Harmon Black
|
Disciplinary Decision |
|
February 24, 2017 |
2014042059701 |
Order Denying Respondent’s Motion for Permission to Offer Expert Testimony.
|
Disciplinary Order |
17-03 |
February 22, 2017 |
2014041724602 |
Eric Joseph Miller
|
Disciplinary Decision - Default |
|
February 09, 2017 |
2013035344201 |
Red River Securities, LLC and Brian Keith Hardwick
|
Disciplinary Decision |
|
February 07, 2017 |
2014042291901 |
Order Denying Respondents’ Motion for Summary Disposition.
|
Disciplinary Order |
17-02 |
February 03, 2017 |
2012034242501 |
Collard, Araiz & Further Lane Securities
|
Disciplinary Decision - Default |
|
January 30, 2017 |
2013037401001 |
Sua Sponte Order Striking Portions of Respondent’s Answer and Precluding Immaterial and Impertinent Evidence
|
Disciplinary Order |
17-01 |
January 26, 2017 |
2012030738501 |
APPEALED:
J.W. Korth and Company
|
Disciplinary Decision |
|
January 11, 2017 |
2013037097602 |
Jeffery A. Vaughn
|
Disciplinary Decision |
|
January 10, 2017 |
2015045532002 |
Samuel McClain
|
Disciplinary Decision - Default |
|
December 28, 2016 |
2014042690502 |
Order Granting, in Part, Respondents' Motion Requesting Issuance of FINRA Rule 8210 Requests.
|
Disciplinary Order |
16-34 |