January 03, 2022 |
ARB210015 |
Jeanette S. Stofleth
|
Expedited Decision |
|
December 30, 2021 |
FPI210005 |
Darryl Matthew Cohen
|
Expedited Decision |
|
December 14, 2021 |
2019061528001 |
Order Denying Respondents’ Motion For a More Definite Statement
|
Disciplinary Order |
21-15 |
November 19, 2021 |
2019061941101 |
Michael J. Giovannelli
|
Disciplinary Decision - Default |
|
November 10, 2021 |
2018057274302 |
Order Sustaining Department of Enforcement’s Objections to Enforcement Attorney Gary Chodosh Being Called as a Witness, and Granting Motion in Limine
|
Disciplinary Order |
21-14 |
October 29, 2021 |
2018058798802 |
Blair Olsen
|
Disciplinary Decision - Default |
|
October 29, 2021 |
2018057235801 |
Order Granting in Part Respondent’s Motion for Continuance
|
Disciplinary Order |
21-13 |
October 28, 2021 |
2019061232601 |
Order Regarding Alpine Securities’ Discovery Motion Related to Christopher Doubek
|
Disciplinary Order |
21-12 |
October 21, 2021 |
ARB210010 |
Derek Rudolf D’Alonzo
|
Expedited Decision |
|
October 12, 2021 |
2016048837401 |
Order Granting Enforcement’s Request to Correct the Hearing Transcript
|
Disciplinary Order |
21-11 |
September 22, 2021 |
2020065292102 |
Elizabeth A. Sollars
|
Disciplinary Decision - Default |
|
September 07, 2021 |
2019062347102 |
Adam G. Belardino
|
Disciplinary Decision - Default |
|
September 07, 2021 |
2017053462401 |
APPEALED:
Robert Henderson
|
Disciplinary Decision |
|
August 24, 2021 |
FPI210005 |
Amended Order setting Hearing and Other Deadlines
|
Expedited Order |
EXP21-02 |
August 17, 2021 |
ARB210008 |
Leslie George Markus, Jr.
|
Expedited Decision |
|
August 17, 2021 |
ARB210003 |
Henrique David Lucena
|
Expedited Decision |
|
August 09, 2021 |
2018060379701 |
Frank V. Sapareto
|
Disciplinary Decision - Default |
|
July 29, 2021 |
ARB210008 |
Order Denying Respondent’s Post-Hearing Motion for Admission of Additional Exhibits
|
Expedited Order |
EXP21-01 |
July 26, 2021 |
2020068395801 |
Hugues Guirand
|
Disciplinary Decision - Default |
|
July 23, 2021 |
ARB210004 |
Gary J. Helbling
|
Expedited Decision |
|
July 23, 2021 |
2018056436001 |
Integrity Brokerage Services, Inc. and Joshua Helmle
|
Disciplinary Decision |
|
July 22, 2021 |
2019064313901 |
Paramveer Singh
|
Disciplinary Decision |
|
July 08, 2021 |
2019061187102 |
Ji Jun Yang
|
Disciplinary Decision - Default |
|
July 07, 2021 |
2021070337401 |
Kishan Parikh
|
Disciplinary Decision - Default |
|
July 01, 2021 |
2016048837401 |
Order Granting Enforcement’s Motion Regarding Sequestration of Witnesses
|
Disciplinary Order |
21-10 |