June 29, 2021 |
2019063570502 |
APPEALED:
Matthew R. Logan
|
Disciplinary Decision |
|
June 03, 2021 |
2018058924502 |
APPEALED:
Adam James Makkai
|
Disciplinary Decision |
|
May 27, 2021 |
2017052701101 |
James W. Flower
|
Disciplinary Decision |
|
May 20, 2021 |
2016048837401 |
Amended Order Regarding Review and Redaction of Exhibits
|
Disciplinary Order |
21-09 |
May 19, 2021 |
2019064313901 |
Order Sustaining Respondent Paramveer Singh’s Objection to the Admission of CX-30 into Evidence
|
Disciplinary Order |
21-08 |
May 19, 2021 |
2017052867301 |
APPEALED:
Mercer Hicks III
|
Disciplinary Decision |
|
May 18, 2021 |
2018058588501 |
APPEALED:
Christopher Peter Tranchina
|
Disciplinary Decision |
|
April 27, 2021 |
2020065128501 |
Wilfredo Felix
|
Disciplinary Decision - Default |
|
March 31, 2021 |
2020066608501 |
Gregory J. Mancuso
|
Disciplinary Decision - Default |
|
March 26, 2021 |
2017056627801 |
Charles T. Stevens
|
Disciplinary Decision - Default |
|
March 15, 2021 |
2016048837401 |
Order Granting Respondents’ Motion to Continue Hearing
|
Disciplinary Order |
21-06 |
March 15, 2021 |
2016048837401 |
Order Converting Hearing to Video Conference if Necessary
|
Disciplinary Order |
21-07 |
March 01, 2021 |
2019064313901 |
Order Denying Without Prejudice Respondent’s Motion for a Stay Pursuant to FINRA Rule 9222
|
Disciplinary Order |
21-05 |
February 18, 2021 |
2015045257501 |
APPEALED:
Ricky Alan Mantei
|
Disciplinary Decision |
|
February 03, 2021 |
2019064416201 |
Travis Scott Hughes
|
Disciplinary Decision |
|
February 02, 2021 |
2017053462401 |
Order Continuing In-Person Hearing
|
Disciplinary Order |
21-04 |
January 29, 2021 |
2017052701101 |
Order Requiring Replacement of Certain Hearing Exhibits with More Legible Copies
|
Disciplinary Order |
21-03 |
January 20, 2021 |
2016051583101 |
Bryan G. Mazliach
|
Disciplinary Decision - Default |
|
January 19, 2021 |
2018058588501 |
Order Regarding Enforcement’s Motion in Limine and Pre-Hearing Objections
|
Disciplinary Order |
21-02 |
January 13, 2021 |
ARB200025 |
Giovanni Antonio Malatesta
|
Expedited Decision |
|
January 07, 2021 |
2018058588501 |
Order Denying Respondent’s Motion to Postpone Hearing Dates
|
Disciplinary Order |
21-01 |
December 08, 2020 |
2016049414401 |
Stephen Sloane
|
Disciplinary Decision - Default |
|
December 07, 2020 |
2017052701101 |
Order Converting Hearing and Final Pre-Hearing Conference to VideoConference and Amending Pre-Hearing Schedule
|
Disciplinary Order |
20-23 |
December 07, 2020 |
2017052701101 |
Order Granting Enforcement’s Motion for Leave to Issue Post-Complaint Rule 8210 Request
|
Disciplinary Order |
20-22 |
November 18, 2020 |
2018056436001 |
Order Memorializing Rulings at Pre-Hearing Conference
|
Disciplinary Order |
20-21 |