July 27, 2017 |
SD-2130 |
APPEALED:
Robert J. Escobio
|
Statutory Disqualification, Denials |
July 24, 2017 |
2012034719701 |
APPEALED:
Paul E. Taboada
|
Disciplinary Decision |
July 24, 2017 |
20120320803-01 |
Shiva Naby
|
Disciplinary Decision |
July 20, 2017 |
2015044444801 |
Glenn Robert King
|
Disciplinary Decision |
July 20, 2017 |
2012034936005 |
David Joseph Escarcega
|
Disciplinary Decision |
July 20, 2017 |
2011025675501r |
APPEALED:
Kimberly Springsteen-Abbott
|
Disciplinary Decision |
May 26, 2017 |
2011027666902 |
APPEALED:
Merrimac Corporate Securities, Inc., and Robert G. Nash
|
Disciplinary Decision |
May 16, 2017 |
SD-2103 |
Marc N. Jaffe as a General Securities Representative with Integrity Brokerage Services, Inc.
|
Statutory Disqualification, Denials |
May 12, 2017 |
2012034936101 |
Jeffrey D. Noard
|
Disciplinary Decision |
April 26, 2017 |
SD-2063 |
Macquarie Capital (USA) Inc.
|
Statutory Disqualification, Approvals |
March 23, 2017 |
2014040968501 |
APPEALED:
Ahmed Gadelkareem
|
Disciplinary Decision |
March 16, 2017 |
2013035211801 |
APPEALED:
David Adam Elgart
|
Disciplinary Decision |
March 15, 2017 |
2011025444501 |
Wood (Arthur W.) Company, Inc.
|
Disciplinary Decision |
March 15, 2017 |
2009017440201 |
APPEALED:
Louis Ottimo
|
Disciplinary Decision |
March 15, 2017 |
2010025087302 |
APPEALED:
Thaddeus J. North
|
Disciplinary Decision |
March 13, 2017 |
2011027926301 |
Matthew Joseph Sheerin
|
Disciplinary Decision |
March 08, 2017 |
SD-2117 |
Craig Scott Taddonio as a General Securities Representative with Meyers Associates, L.P. (n/k/a Windsor Street Capital, LP)
|
Statutory Disqualification |
January 25, 2017 |
SD-2062 |
Oppenheimer & Co., Inc.
|
Statutory Disqualification, Approvals |
January 13, 2017 |
2013036799501 |
J. Michael Casas
|
Disciplinary Decision |
January 13, 2017 |
2011026346206 |
Jaoshiang Luo
|
Disciplinary Decision |
January 10, 2017 |
2012033362101 |
Thomas Edmund Connors
|
Disciplinary Decision |
January 06, 2017 |
2012030724101 |
Fox Financial Management Corporation, Brian A. Murphy, James E. Rooney, Jr.
|
Disciplinary Decision |
January 04, 2017 |
2014041319201 |
Miguel Ortiz
|
Disciplinary Decision |
October 11, 2016 |
2009020941801 |
APPEALED:
Lek Securities Corporation
|
Disciplinary Decision |
October 03, 2016 |
2012032519101 |
Robert Earl Holaday
|
Disciplinary Decision |