October 02, 2014 |
SD-1798 |
Wells Fargo Advisors, LLC
|
Statutory Disqualification, Approvals |
October 02, 2014 |
20130379350 |
APPEALED:
Bering Strait Securities, Inc.
|
Membership Decision |
September 29, 2014 |
M00010005 |
In the Matter of the Membership Continuance Application of The Firm
|
Membership Decision, Redacted Decision |
August 01, 2014 |
20080127674 & 20080133768 |
Angelo Xagoraris
|
Disciplinary Decision |
July 25, 2014 |
2011027007901 |
APPEALED:
Shashishekhar Doni
|
Disciplinary Decision |
July 21, 2014 |
2010021303301 |
North Woodward Financial Corp. and Douglas A. Troszak
|
Disciplinary Decision |
July 18, 2014 |
2009019837302 |
APPEALED:
Blair C. Mielke and Frederick W. Shultz
|
Disciplinary Decision |
June 03, 2014 |
2010023724601 |
David Kristian Evansen
|
Disciplinary Decision |
May 20, 2014 |
2010021621201 |
Michael Pino
|
Disciplinary Decision |
May 14, 2014 |
2011025674101 |
Shlomi S. Eplboim
|
Disciplinary Decision |
May 09, 2014 |
2010023349601 |
APPEALED:
Denise M. Olson
|
Disciplinary Decision |
May 07, 2014 |
SD-1757, SD-1758, & SD-1896 |
UBS Financial Services, Inc., and UBS Securities, LLC
|
Statutory Disqualification, Approvals |
May 02, 2014 |
2008012925001 |
APPEALED:
The Dratel Group, Inc. and William M. Dratel
|
Disciplinary Decision |
April 24, 2014 |
2011029760201 |
Charles Schwab & Company, Inc.
|
Disciplinary Decision |
March 27, 2014 |
SD-1975 |
Patrick Dukette
|
Statutory Disqualification, Approvals |
March 05, 2014 |
2009017527501 |
Steven R. Tomlinson
|
Disciplinary Decision |
February 25, 2014 |
2011025643201 |
Ronald E. Walblay
|
Disciplinary Decision |
February 21, 2014 |
2011029152401 |
William Bruce Smith
|
Disciplinary Decision |
February 20, 2014 |
2009018076101 |
Blair Alexander West
|
Disciplinary Decision |
February 19, 2014 |
SD-1812 |
Mitchell T. Toland
|
Statutory Disqualification, Denials |
January 31, 2014 |
SD-1794 |
RBC Capital Markets, LLC
|
Statutory Disqualification |
January 16, 2014 |
SD-1750 |
Joseph Popp
|
Statutory Disqualification |
December 31, 2013 |
2009018771602 |
Robert H. Watkins
|
Disciplinary Decision |
December 31, 2013 |
2009016764901 |
Robert Durant Tucker
|
Disciplinary Decision |
December 26, 2013 |
20070082049 |
Robert Marcus Lane and Jeffrey G. Lane
|
Disciplinary Decision |