July 07, 2022 |
2019064656601 |
APPEALED:
Charles Scott Burford
|
Disciplinary Decision |
|
June 27, 2022 |
2019064746502 |
Worden Capital Management
|
Disciplinary Decision - Default |
|
June 10, 2022 |
2018058537302 |
Jorge Antonio Netto
|
Disciplinary Decision |
|
June 10, 2022 |
2018057235801 |
APPEALED:
Megurditch Patatian
|
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 |
2019061528001 |
Order Denying Respondents' Motion for Leave to Offer Expert Testimony
|
Disciplinary Order |
22-09 |
May 26, 2022 |
2020068470002 |
Order Denying Respondent's Motion to Stay Proceeding
|
Disciplinary Order |
22-10 |
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 |
2020066388801 |
Roger Braxton
|
Disciplinary Decision - Default |
|
April 14, 2022 |
2020068740302 |
Marco A. Rivera
|
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 |
|
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 |
|