January 13, 2023 |
2020066627202 |
Order Denying Respondent’s Motion for Summary Disposition
|
Disciplinary Order |
23-01 |
January 13, 2023 |
2020066627202 |
Order Denying Respondent’s Motion to Strike
|
Disciplinary Order |
23-02 |
January 03, 2023 |
2020067731001 |
Patrick Matlock
|
Disciplinary Decision - Default |
|
December 22, 2022 |
2021071672302 |
Jordan P. John
|
Disciplinary Decision - Default |
|
December 16, 2022 |
2021070867702 |
David Hixon
|
Disciplinary Decision - Default |
|
December 02, 2022 |
2020066627202 |
Oder Granting Enforcement’s Motion for Leave to Offer Expert Testimony of Arthur Middlemiss
|
Disciplinary Order |
22-23 |
November 29, 2022 |
2021071965401 |
Daniel Pita
|
Disciplinary Decision - Default |
|
November 25, 2022 |
2020065396501 |
Order Granting, in Part, Respondent’s Motion to Extend Time to File Objections
|
Disciplinary Order |
22-22 |
October 31, 2022 |
2019064813801 |
Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents
|
Disciplinary Order |
22-21 |
September 23, 2022 |
2017055886402 |
Order Granting Motion to Continue Hearing and Requiring Parties to Submit Joint Proposed Schedule
|
Disciplinary Order |
22-20 |
September 21, 2022 |
2018056490303 |
Timothy P. Higgins
|
Disciplinary Decision - Default |
|
September 08, 2022 |
2017055886402 |
Order Excluding Unqualified Attorney from This Proceeding
|
Disciplinary Order |
22-18 |
August 30, 2022 |
2017055886402 |
Order Setting a Pre-Hearing Videoconference for Friday, September 2, 2022, and Specifically Requiring Respondent Raymond J. Derobbio to Attend
|
Disciplinary Order |
22-17 |
August 26, 2022 |
2019064813801 |
APPEALED:
NYPPEX, LLC, Laurence Allen, and Michael Schunk
|
Disciplinary Decision |
|
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 Denying the Parties' Motions in Limine
|
Disciplinary Order |
22-13 |
July 14, 2022 |
2019061528001 |
Order Granting Enforcement's Motion for Leave to Use Demonstrative
|
Disciplinary Order |
22-14 |
July 12, 2022 |
2021071227301 |
Stephen G. Whitman
|
Disciplinary Decision - Default |
|
July 12, 2022 |
FPI220001 |
Ustocktrade Securities, Inc.
|
Expedited Decision |
|
July 11, 2022 |
2019061528001 |
Order Granting Enforcement's Motion to Sequester Witnesses
|
Disciplinary Order |
22-12 |