October 09, 2024 |
2019061528001 |
APPEALED:
Spartan Capital Securities, LLC, John D. Lowry, and Kim M. Monchik
|
Disciplinary Decision |
October 03, 2024 |
2020066627202 |
APPEALED:
Suzanne Marie Capellini
|
Disciplinary Decision |
September 23, 2024 |
ARB240006 |
Stephen Walter Pendergast
|
Expedited Decision |
April 08, 2024 |
2019064813801 |
APPEALED:
NYPPEX, LLC, Laurence Allen, and Michael Schunk
|
Disciplinary Decision |
April 08, 2024 |
SD-2352 |
Cetera Advisors LLC
|
Statutory Disqualification, Approvals |
April 08, 2024 |
SD-2351 |
Cetera Advisor Networks LLC
|
Statutory Disqualification, Approvals |
March 14, 2024 |
2019064656601 |
APPEALED:
Charles Scott Burford
|
Disciplinary Decision |
December 05, 2023 |
SD-2330 |
Joao M. Valente
|
Statutory Disqualification, Approvals |
October 25, 2023 |
SD-2325 |
BTIG, LLC
|
Statutory Disqualification, Approvals |
September 28, 2023 |
2018057235801 |
APPEALED:
Megurditch Patatian
|
Disciplinary Decision |
September 21, 2023 |
M00010008 |
In the Matter of the Continuing Membership Application of Firm A
|
Membership Decision, Redacted Decision |
September 15, 2023 |
SD-2315 |
Halifax America LLC
|
Statutory Disqualification, Approvals |
June 16, 2023 |
SD-2295 |
Allen B. Holeman with David Lerner Associates. Inc.
|
Statutory Disqualification, Approvals |
May 30, 2023 |
2015045257501 |
APPEALED:
Ricky Alan Mantei
|
Disciplinary Decision |
April 19, 2023 |
FPI220008 |
Sally Nava Kanarek
|
Disciplinary Decision |
April 13, 2023 |
SD-2317 |
David Girton with Blaylock Van, LLC
|
Statutory Disqualification, Approvals |
March 23, 2023 |
2018057274302 |
APPEALED:
Jason Lynn DiPaola
|
Disciplinary Decision |
March 23, 2023 |
2018058588501 |
APPEALED:
Christopher Peter Tranchina
|
Disciplinary Decision |
January 17, 2023 |
2016050924601r |
Bradley C. Reifler
|
Disciplinary Decision |
January 06, 2023 |
2018058924502 |
Adam James Makkai
|
Disciplinary Decision |
December 29, 2022 |
2017053462401 |
Robert Henderson
|
Disciplinary Decision |
December 21, 2022 |
SD-2294 |
Heath Butler
|
Statutory Disqualification, Denials |
October 18, 2022 |
2017052760001 |
APPEALED:
Nancy Kimball Mellon
|
Disciplinary Decision |
October 17, 2022 |
SD-2311 |
William John Tobias
|
Statutory Disqualification, Approvals |
October 13, 2022 |
2020065128501 |
APPEALED:
Wilfredo Felix, Jr.
|
Disciplinary Decision |