August 18, 2022 |
ARB220007 |
Jeff Corey McElroy
|
Expedited Decision |
|
August 09, 2022 |
2020066627202 |
Order Denying Enforcement's Motion to Strike Respondent's Second Affirmative Defense
|
Disciplinary Order |
22-16 |
August 04, 2022 |
ARB220010 |
Order Dismissing Expedited Proceeding and Allowing Suspension to Take Effect
|
Expedited Order |
EXP22-01 |
July 25, 2022 |
2021071060902 |
Gregory S. Hanshew
|
Disciplinary Decision - Default |
|
July 22, 2022 |
2020066627202 |
Order Denying Respondent's Motion to Dismiss with Leave to Re-file as a Motion for Summary Disposition
|
Disciplinary Order |
22-15 |
July 19, 2022 |
2020066032801 |
Francis J. Velten
|
Disciplinary Decision - Default |
|
July 14, 2022 |
2019061528001 |
Order Granting Enforcement's Motion for Leave to Use Demonstrative
|
Disciplinary Order |
22-14 |
July 14, 2022 |
2019061528001 |
Order Denying the Parties' Motions in Limine
|
Disciplinary Order |
22-13 |
July 12, 2022 |
FPI220001 |
Ustocktrade Securities, Inc.
|
Expedited Decision |
|
July 12, 2022 |
2021071227301 |
Stephen G. Whitman
|
Disciplinary Decision - Default |
|
July 11, 2022 |
2019061528001 |
Order Granting Enforcement's Motion to Sequester Witnesses
|
Disciplinary Order |
22-12 |
July 07, 2022 |
2019064656601 |
APPEALED:
Charles Scott Burford
|
Disciplinary Decision |
|
June 27, 2022 |
2019064746502 |
Worden Capital Management
|
Disciplinary Decision - Default |
|
June 10, 2022 |
2018057235801 |
APPEALED:
Megurditch Patatian
|
Disciplinary Decision |
|
June 10, 2022 |
2018058537302 |
Jorge Antonio Netto
|
Disciplinary Decision |
|
June 03, 2022 |
2019063633301 |
Order Granting in Part and Denying in Part Department of Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer
|
Disciplinary Order |
22-11 |
May 26, 2022 |
2020068470002 |
Order Denying Respondent's Motion to Stay Proceeding
|
Disciplinary Order |
22-10 |
May 26, 2022 |
2019061528001 |
Order Denying Respondents' Motion for Leave to Offer Expert Testimony
|
Disciplinary Order |
22-09 |
May 17, 2022 |
2019063633301 |
Order Governing Respondent's Briefing on Department of Enforcement's Motion to Strike Respondent's Affirmative Defenses and Portions of the Answer
|
Disciplinary Order |
22-08 |
April 14, 2022 |
2020068740302 |
Marco A. Rivera
|
Disciplinary Decision - Default |
|
April 14, 2022 |
2020066388801 |
Roger Braxton
|
Disciplinary Decision - Default |
|
April 07, 2022 |
FPI210010 |
Alpine Securities Corporation
|
Expedited Decision |
|
April 01, 2022 |
2020067014602 |
Order Rejecting Respondent's Submission and Requiring Respondent to File Rule-Compliant Answer
|
Disciplinary Order |
22-07 |
March 25, 2022 |
2018057274302 |
APPEALED:
Hearing Panel Decision - Department of Enforcement v. Jason L. DiPaola
|
Disciplinary Decision |
|
March 22, 2022 |
2019061232601 |
APPEALED:
Alpine Securities Corporation
|
Disciplinary Decision |
|