March 08, 2022 |
2019064813801 |
Supplemental Order Regarding Denial of Respondents’ Request for Postponement
|
Disciplinary Order |
22-06 |
March 03, 2022 |
2019060753502 |
Jason A. Wilk
|
Disciplinary Decision - Default |
|
March 02, 2022 |
2019060648701 |
Order Denying Respondents’ Motion to Dismiss
|
Disciplinary Order |
22-05 |
February 10, 2022 |
2018058537302 |
Order Granting Department of Enforcement’s Motion for Leave to Use Demonstrative
|
Disciplinary Order |
22-04 |
February 03, 2022 |
2021069496201 |
Lauren N. Scheible
|
Disciplinary Decision - Default |
|
January 31, 2022 |
2016048837401 |
Craig Stanton Norton
|
Disciplinary Decision |
|
January 31, 2022 |
2020065349803 |
Alon Zak
|
Disciplinary Decision - Default |
|
January 21, 2022 |
2020067814802 |
Order Directing Respondent to File Answer Compliant With FINRA Rule 9215
|
Disciplinary Order |
22-03 |
January 13, 2022 |
2018058537302 |
Order Denying Respondent’s Motion to Postpone Hearing Dates
|
Disciplinary Order |
22-02 |
January 12, 2022 |
2018057235801 |
Omnibus Order on Pre-Hearing Motions and Objections
|
Disciplinary Order |
22-01 |
January 04, 2022 |
2018058611601 |
Joseph J. Weinrich
|
Disciplinary Decision - Default |
|
January 03, 2022 |
ARB210015 |
Jeanette S. Stofleth
|
Expedited Decision |
|
December 30, 2021 |
FPI210005 |
Darryl Matthew Cohen
|
Expedited Decision |
|
December 14, 2021 |
2019061528001 |
Order Denying Respondents’ Motion For a More Definite Statement
|
Disciplinary Order |
21-15 |
November 19, 2021 |
2019061941101 |
Michael J. Giovannelli
|
Disciplinary Decision - Default |
|
November 10, 2021 |
2018057274302 |
Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine
|
Disciplinary Order |
21-14 |
October 29, 2021 |
2018058798802 |
Blair Olsen
|
Disciplinary Decision - Default |
|
October 29, 2021 |
2018057235801 |
Order Granting in Part Respondent’s Motion for Continuance
|
Disciplinary Order |
21-13 |
October 28, 2021 |
2019061232601 |
Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek
|
Disciplinary Order |
21-12 |
October 21, 2021 |
ARB210010 |
Derek Rudolf D’Alonzo
|
Expedited Decision |
|
October 12, 2021 |
2016048837401 |
Order Granting Enforcement’s Request to Correct the Hearing Transcript
|
Disciplinary Order |
21-11 |
September 22, 2021 |
2020065292102 |
Elizabeth A. Sollars
|
Disciplinary Decision - Default |
|
September 07, 2021 |
2017053462401 |
APPEALED:
Robert Henderson
|
Disciplinary Decision |
|
September 07, 2021 |
2019062347102 |
Adam G. Belardino
|
Disciplinary Decision - Default |
|
August 24, 2021 |
FPI210005 |
Amended Order setting Hearing and Other Deadlines
|
Expedited Order |
EXP21-02 |