September 20, 2023 |
2019063152202 |
Order Denying Respondent’s Motion to Stay
|
Disciplinary Order |
23-26 |
September 14, 2023 |
2020066627202 |
Order Governing FINRA Rule 9285 Motion
|
Disciplinary Order |
23-25 |
July 24, 2023 |
2022074278301 |
BrokerBank Securities, et al.
|
Disciplinary Decision - Default |
|
July 21, 2023 |
2021071137001 |
Order Governing the Use of Leading Questions to Former Employees of Respondent Lek Securities Corporation
|
Disciplinary Order |
23-24 |
July 19, 2023 |
2021071137001 |
Order Granting in Part and Denying in Part Respondents’ Motion to Preclude FINRA from Using Testimony Procured Through Rule 8210 and for Sanctions Pursuant to Rule 9280
|
Disciplinary Order |
23-23 |
July 17, 2023 |
2021071137001 |
Order Deferring Ruling on Lek Securities Corp. and Charles Frederik Lek’s Motion in Limine to Exclude Certain Evidence
|
Disciplinary Order |
23-22 |
July 14, 2023 |
2020066627202 |
APPEALED:
Suzanne Marie Capellini
|
Disciplinary Decision |
|
June 27, 2023 |
2022076975901 |
Miche D. Jean
|
Disciplinary Decision - Default |
|
June 14, 2023 |
2018057297102 |
Order Denying Respondent’s Motion to Disqualify Enforcement Counsel
|
Disciplinary Order |
23-21 |
June 12, 2023 |
2019061528001 |
Order Granting, in Part, Enforcement’s Motion for Interim Conditions and Restrictions on Respondents Pursuant to FINRA Rule 9285
|
Disciplinary Order |
23-20 |
June 06, 2023 |
ARB230003 |
Trevor Michael Perry
|
Expedited Decision |
|
June 06, 2023 |
2021071137001 |
Order Establishing Procedures Regarding Treatment of SAR Information
|
Disciplinary Order |
23-19 |
June 06, 2023 |
2019061528001 |
Order Denying Respondents’ Request for Oral Argument on Enforcement’s Pending Rule 9285 Motion for Conditions and Restrictions
|
Disciplinary Order |
23-18 |
June 02, 2023 |
2021070337501 |
Order Denying Respondent’s Motion in Limine
|
Disciplinary Order |
23-17 |
May 26, 2023 |
2021070337501 |
Order Granting Enforcement’s Motion for Leave to Offer Telephone or Videoconference Testimony
|
Disciplinary Order |
23-16 |
May 16, 2023 |
2021072142202 |
Roger L. Arnold
|
Disciplinary Decision - Default |
|
April 13, 2023 |
ARB220023 |
Timothy P. Henry
|
Expedited Decision |
|
March 28, 2023 |
97002201 |
Allied Millennial Partners, LLC and Daniel Peter Solakian
|
Rule 9700 Decision |
|
March 28, 2023 |
2019061528001 |
APPEALED:
Spartan Capital Securities LLC, John D. Lowry, and Kim M. Monchick
|
Disciplinary Decision |
|
March 23, 2023 |
2018057297102 |
Order Granting, in Part, Respondent’s Motion to Continue Hearing Dates
|
Disciplinary Order |
23-15 |
March 17, 2023 |
2019061942901 |
Order Directing Respondent to File a Rule-Compliant Answer
|
Disciplinary Order |
23-14 |
March 13, 2023 |
2017055886402 |
Order Regarding Cantone Respondents’ Motion for Clarification
|
Disciplinary Order |
23-12 |
March 13, 2023 |
97002201 |
Order Granting Motion to Dismiss and Decision
|
Expedited Order |
EXP23-13 |
February 28, 2023 |
2021071137001 |
Order Granting Enforcement’s Motion for Leave to Offer Expert Testimony
|
Disciplinary Order |
23-11 |
February 28, 2023 |
97002201 |
Order Granting In Part and Denying In Part Enforcement’s Motion to Continue Hearing Date
|
Expedited Order |
EXP23-10 |