October 03, 2016 |
2012032519101 |
Robert Earl Holaday
|
Disciplinary Decision |
September 08, 2016 |
SD-2048 |
Citigroup Global Markets Inc.
|
Statutory Disqualification |
August 23, 2016 |
2011025675501 |
APPEALED:
Kimberly Springsteen-Abbott
|
Disciplinary Decision |
August 03, 2016 |
2011025851501 |
APPEALED:
KCD Financial, Inc.
|
Disciplinary Decision |
July 21, 2016 |
2010022601501 |
Jack Brian Weinstock
|
Disciplinary Decision |
July 20, 2016 |
SD-2044 |
Xavier Capdepon
|
Statutory Disqualification, Denials |
July 20, 2016 |
2009020465801 |
APPEALED:
Keith D. Geary
|
Disciplinary Decision |
July 19, 2016 |
2011028502101 |
North Woodward Financial Corp. and Douglas A. Troszak
|
Disciplinary Decision |
July 18, 2016 |
2012033351801 |
Paolo Franca Iida
|
Disciplinary Decision |
July 18, 2016 |
2012034389202 |
APPEALED:
Bernard G. McGee
|
Disciplinary Decision |
June 17, 2016 |
SD-2026 |
RBS Securities, Inc.
|
Statutory Disqualification |
May 20, 2016 |
SD-2027 |
APPEALED:
Christopher Cota with Capital Financial Services, Inc.
|
Statutory Disqualification, Denials |
May 16, 2016 |
2010022977801 |
APPEALED:
David B. Tysk
|
Disciplinary Decision |
May 09, 2016 |
SD-2069 |
APPEALED:
Bruce Meyers with Meyers Associates, L.P.
|
Statutory Disqualification, Denials |
April 06, 2016 |
SD-2010 |
Michael C. Furman with Citigroup Global Markets, Inc.
|
Statutory Disqualification, Approvals |
March 07, 2016 |
2008011762801r |
APPEALED:
Mitchell H. Fillet
|
Disciplinary Decision |
February 18, 2016 |
FPI150009 |
Gary James Lundgren
|
Expedited Decision, Non-Summary Proceeding |
December 29, 2015 |
2011029619301 |
APPEALED:
Kenny Akindemowo
|
Disciplinary Decision |
December 22, 2015 |
2010025350001 |
Roric E. Griffith
|
Disciplinary Decision |
December 17, 2015 |
20110273503 |
Richard A. McGuire
|
Disciplinary Decision |
December 17, 2015 |
2010025181001 |
APPEALED:
John Vincent Ballard
|
Disciplinary Decision |
December 17, 2015 |
2010024889501 |
William B. Fretz, Jr, John P. Freeman and The Keystone Equities Group, LP
|
Disciplinary Decision |
October 05, 2015 |
2009017899801 |
APPEALED:
Rani T. Jarkas
|
Disciplinary Decision |
September 29, 2015 |
SD-2029 |
Bret M. Shapiro with Dawson James Securities, Inc.
|
Statutory Disqualification, Denials |
September 25, 2015 |
2012032950101 |
APPEALED:
Joseph R. Butler
|
Disciplinary Decision |