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Operating a Business Without Business License Alabama document sample
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10/2005 1040081 210822 23E(1)
10/2005 1001603 91416
10/2005 1024633 125398
10/2005 1003959 1200
10/2005 873519 188928 23E(2)
10/2005 1011773 1172574 14C(2),14C(4),14C(5),14D(1)(b),14D(1)(d)
10/2005 1011773 1594 14D(1)(b),14D(1)(d)
10/2005 1028407 1277491 14C(2),14C(4),14C(5),14D(1)(b),14D(1)(e),14E(4),14E(2)
10/2005 1028407 125407 14C(2)
10/2005 1051027 58406
10/2005 1031884 591633 14D(2),14D(4)
10/2005 1031884 931154 14D(1)(d),14D(2)(b)
10/2005 1031884 1031657 14E(2)
10/2005 1031884 1082300 14D(2),14D(4)
10/2005 1015086 700510 23D(2), 23D(4)
10/2005 1016968 1895
10/2005 1016968 1896
10/2005 1017839 1935
10/2005 1012477 1645
10/2005 1022273 880550 23D(1)
10/2005 1048088 3293 14D(5)
10/2005 1036738 958851 23E(2)
10/2005 1034360 1206521 14E(2)
10/2005 1034360 1206519 14E(2)
10/2005 1034360 1206520 14E(2)
10/2005 1027281 1223432 14E(4),14E(2)
10/2005 1034878 57999
10/2005 1036857 118422
10/2005 1030674 284406
10/2005 1034084 57973
10/2005 1026916 118345
10/2005 1055454 584463 14D(1)(d),14D(1)(e)
10/2005 1052695 118536 14E(2)
10/2005 1056808 677592 23D(5)
10/2005 1041622 795178 23E(2)
10/2005 1045447 92321
10/2005 1045447 92322
10/2005 1045447 92324 14D(1)(e)
10/2005 1045447 963456 23E(2)
10/2005 1047498 58338
10/2005 1054695 58483 23D(1), 23D(2), 23D(4), 23D(5)
10/2005 1047416 3264 23E(2), 23E(4)
10/2005 1047416 3266 23D(2), 23D(4), 23D(5)
10/2005 1048806 92426
10/2005 1049132 1288023 14E(2)
10/2005 1049132 1323258 14C(5),14C(4)
10/2005 1049132 3341 23E(2)
10/2005 1049132 216239 14E(2)
10/2005 1074417 4240 14E(4),14E(2)
10/2005 1061442 936231 14E(2)
10/2005 1047964 58343
10/2005 1052504 92514
10/2005 1080876 1395372 14G(1)
10/2005 1082891 148933 23E(2)
10/2005 1082891 871610 23E(2), 23E(4)
10/2005 1064417 657373 23D(2)
10/2005 1080477 707355 23E(2)
10/2005 1072165 953785 23D(2), 23D(4)
05/2009 1073617 4224 14D(1)(e)
05/2009 1073617 4224 14D(1)(e)
10/2005 1066275 1327270 14D(1)(a)
10/2005 1066275 1335601 14D(1)(a)
10/2005 1066275 1335600 14D(1)(a)
10/2005 1066275 1347839 14D(1)(a)
10/2005 1066275 1347838 14D(1)(a)
10/2005 1067980 279719
10/2005 1068464 128905 14E(4),14E(2)
10/2005 1096256 277351 14E(2)
10/2005 1096256 1108227 14E(2)
10/2005 1096256 1373817 14E(2)
10/2005 1056490 3616 14D(2)
10/2005 1057320 1049955 14E(2)
10/2005 1070636 1187895 14E(2)
10/2005 1070636 132835
10/2005 1070636 132840
10/2005 1093757 93189 14D(4),14D(5)
10/2005 1052111 1264482 14D(1)(a)
10/2005 1064833 92733
10/2005 1064841 1313925 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1092083 976336 23D(4)
10/2005 1092083 1112269 14D(2)(b)
10/2005 1123343 5632
10/2005 1071715 208112
10/2005 1071715 92857
10/2005 1071715 191552
10/2005 1076455 4310
10/2005 1077118 4357
10/2005 1077118 4358
10/2005 1081478 59104 23E(2)
10/2005 1090909 700387 23E(2), 23G(1)
10/2005 1091766 1282536 14D(1)(a),14D(1)(b),14D(1)(d),14D(2)(b)
05/2009 1110453 1401193 14D(1)(b)
05/2009 1110453 1401193 14D(1)(b)
10/2005 1144288 1019826 14G(1)
10/2005 1081194 4491 23D(2), 23D(4)
05/2009 1087730 59246 14C(2),14C(4),14C(5),14C(6),14C(7)
05/2009 1087730 59246 14C(2),14C(4),14C(5),14C(6),14C(7)
05/2009 1087730 153762 14D(1)(a),14D(1)(b),14D(1)(e)
05/2009 1087730 153762 14D(1)(a),14D(1)(b),14D(1)(e)
10/2005 1091440 118726
10/2005 1130813 5854
10/2005 1075245 949963 23E(2), 23E(4), 23G(1)
10/2005 1075245 1007872 23D(4), 23D(5)
10/2005 1124359 1189344 14D(1)(b),14D(1)(d)
10/2005 1124359 59815 14E(2)
10/2005 1073553 87297 23E(2)
10/2005 1094625 59378
10/2005 1141333 93806
10/2005 1141333 306299
10/2005 1095020 132900
10/2005 1157561 94002 23E(2), 23E(4)
10/2005 1136667 6050
10/2005 1086724 191224
10/2005 1101029 1196910 14E(4),14E(2)
10/2005 1100228 623169 23E(2)
10/2005 1146726 1264139 14E(2)
10/2005 1148546 6410 23D(2)
10/2005 1149090 153546 14D(1)(a),14D(1)(b),14D(1)(d)
10/2005 1131860 686567 23D(2), 23D(4)
10/2005 1083675 336514
10/2005 1112908 1105525 14D(1)(b),14D(1)(d)
10/2005 1110377 1307006 14D(1)(b)
10/2005 1129296 1306659 14E(2)
10/2005 1131302 5861
10/2005 1101791 384017 14D(1)(d)
10/2005 1175104 60512
10/2005 1175104 94224
10/2005 1176078 129105 14C(2),14C(4),14C(5)
10/2005 1174993 1147894 14G(1)
10/2005 1174993 1224088 14E(2)
10/2005 1174993 1052741 14G(1)
10/2005 1144601 60134
10/2005 1124344 221497 23C(2), 23C(5)
10/2005 1142002 93830
10/2005 1138534 1067560 14D(1)
10/2005 1139479 263798
10/2005 1147428 242132 23D(2), 23D(4), 23D(5)
10/2005 1147428 567358 23G(1)
10/2005 1147713 6399
10/2005 1130854 1077164 14E(2)
10/2005 1130854 93632
10/2005 1149167 1280362 14C(2),14C(4),14C(5)
05/2009 1152284 1404477 14D(1)(b),14D(1)(d)
05/2009 1152284 1404477 14D(1)(b),14D(1)(d)
10/2005 1157737 1198092 14C(2),14C(4),14C(5)
10/2005 1157737 1201008 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1176692 1056343 14E(2),14E(4)
10/2005 1138985 60027
10/2005 1138985 60028 23D(4), 23D(5)
10/2005 1179221 60606 23E(2)
10/2005 1190941 60800
10/2005 1141102 274087 23E(4)
10/2005 1142920 6228
10/2005 1160877 1309177 14E(4),14E(2)
10/2005 1162997 1380333 14G(1)
10/2005 1171933 60448
10/2005 1154874 1294478 14C(5),14C(4),14C(2)
10/2005 1212531 8167
10/2005 1163455 319862 14C(2),14C(4),14C(5)
10/2005 1171623 1177167 14E(4),14E(2)
10/2005 1171623 1249587 14G(1)
10/2005 1193396 7586
10/2005 1195848 189970
10/2005 1197444 613213 23E(2)
10/2005 1232754 1097492 14E(2),14E(4)
10/2005 1186862 1025995 23F
10/2005 1192608 94485
10/2005 1192608 94486
10/2005 1192608 94487
10/2005 1190718 94466
10/2005 1190718 698515 23E(2)
10/2005 1190718 1013425 23E(2)
10/2005 1190934 1304001 14D(1)(b)
10/2005 1190934 1360214 14E(2)
10/2005 1200209 7822
10/2005 1225726 1245173 14E(4),14E(2)
10/2005 1225726 94968
10/2005 1225726 655353 23E(2)
10/2005 1225726 1144195 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1182445 60645
10/2005 1214587 1141275 14E(4),14E(2)
10/2005 1192160 133137 14E(4),14E(2)
10/2005 1246672 61829
10/2005 1249354 934841 14C(2),14C(4),14C(5)
10/2005 1203880 1312762 14D(1)(d)
10/2005 1218586 94871
10/2005 1218586 94873
10/2005 1218586 94874
10/2005 1218586 343670
10/2005 1219815 61333
10/2005 1220187 283407
10/2005 1186538 993286 23D(4)
10/2005 1186538 1109893 14D(1)(d)
10/2005 1200463 7838
10/2005 1217290 1131722 14D(1)(d)
10/2005 1217290 622192 23E(2)
10/2005 1216009 8262
10/2005 1212404 61221 14D(1)(b),14D(1)(e)
10/2005 1253587 9483
10/2005 1224908 1296816 14E(2)
10/2005 1242630 1262594 14D(1)(b),14D(1)(d)
10/2005 1219066 229595
10/2005 1221416 190028
10/2005 1236064 904431 23E(2), 23E(4)
10/2005 1237573 1325749 14E(2),14E(4)
10/2005 1248200 1354991 14D(1)(b),14D(1)(d)
10/2005 1263302 95469
10/2005 1233383 185377 14E(2)
10/2005 1241288 1377180 14E(2)
10/2005 1230117 1137724 14D(1)(d)
10/2005 1230996 95034 23D(2), 23D(4)
10/2005 1277121 284678 14D(1)(a),14D(1)(b),14D(1)(d)
10/2005 1273404 62295
10/2005 1235583 61570
10/2005 1222597 211439 23E(2), 23E(4)
10/2005 1222597 1051075 14D(4)
10/2005 1222692 61374
10/2005 1260597 9653 23D(1), 23D(2), 23D(4), 23D(5)
10/2005 1260597 133291
10/2005 1260597 133294
10/2005 1246507 95270
10/2005 1278674 95659
10/2005 1278674 172566
10/2005 1254068 95366
10/2005 1266815 871893 23D(2), 23D(4)
10/2005 1266815 871894 23D(2), 23D(4)
10/2005 1266815 871891 23E(2), 23E(4)
10/2005 1266815 871892 23E(2), 23E(4)
10/2005 1282573 1392849 14G(1)
10/2005 1266504 95497 23D(2), 23D(4)
10/2005 1266504 95498 23D(2)
10/2005 1266504 129263 23D(2), 23D(4)
10/2005 1285141 805101 14E(2)
10/2005 1302509 10993
10/2005 1302509 10994
10/2005 1301379 138938
10/2005 1273711 10100
10/2005 1258075 133284
10/2005 1270681 95556 14E(2)
10/2005 1306885 1181299 14F
10/2005 1274092 283026
10/2005 1275360 62337
10/2005 1276738 95620 14D(3),14D(4)
10/2005 1332429 63357 14E(2)
10/2005 1332429 1210443 14E(2)
10/2005 1332429 1055920 14E(2)
10/2005 1304915 95929 23E(4)
10/2005 1304915 129325 23E(2), 23E(4)
10/2005 1294862 238886
10/2005 1286530 700812 23C(2), 23C(4), 23C(5)
10/2005 1284228 95715
10/2005 1330601 1179118 14E(4),14E(2)
10/2005 1330601 1201534 14D(1)(d),14D(1)(e)
10/2005 1330601 939388 14E(2)
10/2005 1332626 11744
10/2005 1326314 11591
10/2005 1342487 96390
10/2005 1329099 96221
10/2005 1329099 312090
10/2005 1294148 1199777 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1294148 1199778 14C(2),14C(4),14C(5)
10/2005 1325333 1159809 14E(4),14E(2)
10/2005 1302491 1261787 14E(2)
10/2005 1325762 1340498 14E(2),14E(4)
10/2005 1326040 1045675 14E(2)
10/2005 1327009 11610 23E(2)
10/2005 1329913 96225 23E(2), 23E(4)
10/2005 1329913 96226 14D(1)(b),14D(1)(d)
10/2005 1350830 87795
10/2005 1368917 311765
10/2005 1368917 964270 23C(2)
10/2005 1344819 96450
10/2005 1389527 129427
10/2005 1384291 1305476 14C(1),14D(1)(d),14D(1)(e)
10/2005 1384291 1289547 14C(2),14C(4),14C(5)
10/2005 1365861 694528 23G(1)
10/2005 1365861 280564
10/2005 1343730 96422 23E(2)
10/2005 1343730 1020842 14E(2),14G(1)
10/2005 1346370 1300922 14E(1),14E(2)
10/2005 1350020 96526
05/2009 1350020 1396052 14D(1)(d),14G(1)
05/2009 1350020 1396052 14D(1)(d),14G(1)
10/2005 1336272 166947
10/2005 1345623 1140712 14D(1)(a)
10/2005 1326757 649732 23E(2)
10/2005 1365335 214572
10/2005 1360764 96612
10/2005 1360806 125918
10/2005 1373072 219337 23E(2)
10/2005 1383210 254350
10/2005 1385990 1017800 14E(2)
10/2005 1374251 382387
10/2005 1356868 1060276 14E(2)
10/2005 1396981 306493
10/2005 1377846 64097 23D(2), 23D(4)
10/2005 1369976 171799
10/2005 1417338 64699
10/2005 1404159 64478 23E(2)
10/2005 1404159 1027436 14C(2),14C(4),14C(5)
10/2005 1388093 1236525 14D(1)(b),14D(1)(d)
10/2005 1398194 97008 14D(1)(b),14D(1)(d),14D(2)(b)
10/2005 1430174 143850 14D(1)(a),14D(1)(d)
10/2005 1406427 13609
10/2005 1424092 160228
10/2005 1388990 64219
10/2005 1465416 1174041 14D(1)(d),14G(1)
10/2005 1465416 1200209 14D(1)(b),14D(1)(d)
10/2005 1465416 1200210 14D(1)(a),14D(1)(b),14D(1)(d)
10/2005 1465416 1229648 14D(1)(d)
10/2005 1465416 1229647 14D(1)(d)
10/2005 1465416 1233171 14D(1)(d)
10/2005 1465416 1244079 14D(1)(a),14D(1)(b),14D(1)(d)
10/2005 1441130 97452 14D(1)(e),14D(1)(d),14D(1)(c),14D(1)(b)
10/2005 1449332 14652 23D(2), 23D(4)
10/2005 1459109 1387153 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1447615 97519
10/2005 1428116 97310 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1445820 65068
10/2005 1425205 14059
10/2005 1471308 1075920 14E(2),14E(4)
10/2005 1438380 1017245 14D(1)(a),14D(1)(b),14D(1)(d)
10/2005 1460478 1319991 14D(1)(b),14D(1)(a)
10/2005 1434820 1396299 14D(1)(b),14D(1)(d)
10/2005 1484906 271747 14E(2),14E(4),14E(1)
10/2005 1473288 15186 23E(3)
10/2005 1473288 185237
10/2005 1445310 120031 14D(1)(b)
10/2005 1501578 317958 14E(2)
10/2005 1477055 65473
10/2005 1477055 65474 14E(2)
10/2005 1458548 1092542 14E(2)
10/2005 1440098 97442
10/2005 1506655 1366348 14D(1)(b)
10/2005 1497403 1226411 14E(2)
10/2005 1468923 88000 14E(2)
10/2005 1476612 15246 23D(1), 23D(2), 23D(4), 23D(5)
10/2005 1496683 266077 14D(1)(d)
10/2005 1490815 1282848 14D(1)(d),14D(1)(e)
10/2005 1477756 97815 23E(2)
10/2005 1516835 65918
10/2005 1478869 88019 23D(1), 23D(2), 23D(4), 23D(5)
10/2005 1513926 15890
10/2005 1504493 571199 23E(2), 23E(4)
10/2005 1491550 183410
10/2005 1514890 1192209 14D(1)(e)
10/2005 1514890 1191863 14D(1)(e)
10/2005 1477994 15265 23D(5)
10/2005 1508224 163963
10/2005 1527389 349503 14D(1)(a)
10/2005 1512527 1274769 14D(1)(b),14D(1)(d)
05/2009 1512527 1402020 14G(1)
05/2009 1512527 1402020 14G(1)
10/2005 1499001 212162 23E(2), 23E(4)
10/2005 1549949 16567
10/2005 1549949 588813 23E(2)
10/2005 1542807 1056346 14E(2),14E(4)
10/2005 1557994 1101580 14E(2)
10/2005 1561218 126133
10/2005 1557803 283484 23E(2), 23E(4)
10/2005 1557803 305679 23E(2), 23E(4)
10/2005 1576155 17009
10/2005 1566859 98615 14D(1)(b)
10/2005 1566859 153198 14E(2)
10/2005 1565431 1301955 14G(1)
10/2005 1555032 120436
10/2005 1555032 120437
10/2005 1579282 17071
10/2005 1579684 17077
10/2005 1556912 1186042 14E(2)
10/2005 1557031 144345
10/2005 1557356 88155
10/2005 1557356 88156
10/2005 1557356 88157
10/2005 1540416 1137034 14E(2)
10/2005 1576520 17020
10/2005 1625889 88311
10/2005 1625889 88312
10/2005 1615284 1127934 14E(4),14E(2)
10/2005 1596591 1133130 14E(2)
10/2005 1636732 155705 23D(2), 23D(4)
10/2005 1636732 163298 23D(2), 23D(4)
10/2005 1636732 163315 23D(2), 23D(4)
10/2005 1624831 171136
10/2005 1627085 1024024 23E(2), 23E(4)
10/2005 1592007 66696
10/2005 1592007 120561
10/2005 1637403 67130 14D(1)(d),14D(1)(e)
10/2005 1631483 239101 23E(2), 23E(4)
10/2005 1631483 300193 23D(4)
10/2005 1635098 349203 23D(3)
10/2005 1609040 66834
10/2005 1616713 120630
10/2005 1626846 17913
10/2005 1626846 158722 14D(1)(b),14D(1)(d),14D(1)(e),14D(2)(b)
10/2005 1607147 17545 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1597375 161278
10/2005 1623139 1371598 14D(1)(a),14D(1)(b),14D(1)(d),14D(2)(b)
10/2005 1666724 99469 23D(4)
10/2005 1689433 1066428 14E(2)
10/2005 1689433 1066429 14E(2),14E(4)
10/2005 1690469 1151618 14E(1),14E(4),14E(2)
10/2005 1641791 626495 23E(2)
10/2005 1645356 145369
10/2005 1645356 216247
10/2005 1645356 283582
10/2005 1646921 1266704 14D(1)(d)
10/2005 1686750 1245270 14D(1)(b)
10/2005 1686750 1304003 14D(1)(b),14G(1)
10/2005 1622929 1288408 14C(4),14C(5)
10/2005 1622929 1123428 14D(1)(b),14D(1)(d),14E(2)
10/2005 1622929 1386444 14D(1)(b)
10/2005 1641924 1170215 14E(4),14E(2)
10/2005 1641924 1097497 14E(2)
10/2005 1641924 1365099 14E(2)
10/2005 1642936 1306120 14G(1)
10/2005 1615086 134083
10/2005 1632951 1146084 14D(1)(d),14D(1)(e)
10/2005 1632951 319044
10/2005 1638896 18141
10/2005 1632555 219595
10/2005 1634136 987473 23E(2)
10/2005 1636510 18097
10/2005 1613913 129701 14D(1)(b),14D(1)(d)
10/2005 1670675 168655
10/2005 1673373 18774
10/2005 1643038 1348112 14D(1)(d),14D(1)(b)
10/2005 1655738 305032
10/2005 1670136 720132 14D(1)(d),14D(1)(e)
10/2005 1670136 720131 14D(1)(d),14D(1)(e)
10/2005 1663918 99455 23E(2)
10/2005 1714135 19436
10/2005 1699773 1149762 14E(2)
10/2005 1707702 191007 23E(2)
10/2005 1710753 1346554 14D(1)(b)
10/2005 1688261 99659
10/2005 1691364 1331097 14E(4)
10/2005 1672356 171382 23E(2), 23E(4)
10/2005 1708243 1207492 14D(1)(d)
10/2005 1661598 168064
10/2005 1674570 129764
10/2005 1674570 688096 23E(2), 23E(4)
10/2005 1674570 861026 23D(2), 23D(4)
10/2005 1708270 654429 14E(2)
10/2005 1717679 19485
10/2005 1716003 1044233 14D(2),14D(4)
10/2005 1716003 1098814 14D(2),14D(4)
10/2005 1711681 67868
10/2005 1711681 278427
10/2005 1711681 1051159 14E(2)
10/2005 1709276 99824
10/2005 1695202 168725
10/2005 1695202 1117501 14D(1)(b),14D(1)(d)
10/2005 1740367 19861 23E(2), 23E(4)
10/2005 1711966 19390 14D(1)(d)
10/2005 1713098 196493
10/2005 1729521 19716 23D(5)
10/2005 1733465 68099
10/2005 1710163 192155 23E(2)
10/2005 1775830 1310214 14E(2)
10/2005 1748328 1375243 14F
10/2005 1767104 20301
10/2005 1731336 68081 14D(1)(e)
10/2005 1783756 601193 23E(2)
10/2005 1739476 100057 23D(4)
10/2005 1744933 19957 14D(1)(b),14D(1)(d),14D(1)(e)
10/2005 1785944 1392505 14D(1)(d)
10/2005 1785131 68616
10/2005 1785131 155240
10/2005 1785131 162411
10/2005 1785131 1356555 14D(1)(d),14D(1)(e)
10/2005 1759484 88530 23E(1), 23E(4)
10/2005 1800295 129868 14D(1)(b),14D(1)(d)
10/2005 1764577 1235942 14G(1)
10/2005 1754525 20123
10/2005 1786044 142043 14E(2)
10/2005 1744957 1241995 14E(1),14E(4),14E(2)
10/2005 1839035 1029051 14D(2),14D(4)
10/2005 1791908 100436 14D(2),14D(4),14D(5)
10/2005 1791908 100437 14D(4)
10/2005 1791908 100438 14D(4)
10/2005 1832271 1214764 14D(1)(b),14D(1)(d)
10/2005 1788644 1302178 14E(4),14E(2)
10/2005 1793105 903075 23D(1), 23D(5)
10/2005 1793105 903073 23D(1)
10/2005 1793105 903074 14D(1)(a),14D(1)(e)
10/2005 1799304 68735
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rgltrNm
NASD DISTRICT 5
NASD
NEW YORK STOCK EXCHANGE
CBOE
NATIONAL ASSOCIAITION OF SECURITIES DEALERS
U.S. SECURITIES AND EXCHANGE COMMISSION
STATE OF NEW JERSEY BUREAU OF SECURITIES
NASD
NASD
DISTRICT BUSINESS CONDUCT
COMMITTEEF-DISTRICT #8
STATE OF TEXAS
UTAH DIVISION OF SECURITIES
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
TEXAS STATE SECURITIES BOARD
KANSAS SECURITIES COMMISSIONER
CFTC
STATE OF FLORIDA SECURITIES DIVISION
NASD
NASD
THE TREASURER OF THE STATE OF FLORIDA DEPARTMENT OF INSURANCE
FIRM
NASD REGULATION, INC.
NASD
NASD
NASD
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STATE OF INDIANA OFFICE OF THE SECRETARY OF
STATE S*See FAQ #1*
NASD
NASD REGULATION, INC-DEPARTMENT OF
ENFORCEMENT
CHICAGO BOARD OF OPTIONS EXCHANGE
NEW YORK STOCK EXCHANGE
SECURITIES COMMISSIONER OF FLORIDA
NATIONAL ASSOCIATION OF SECURITIES DEALERS
SECURITIES AND EXCHANGE COMMISSION
NASDR
STATE OF MICHIGAN
NASD
STATE OF FLORIDA
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NASD DISTRICT NO. 8
TENNESSEE SECURITIES DIVISION
NYSE
STATE OF NEW JERSEY
NASD DISTRICT #12
NASD
SEC
NASD
HELEN IGOE - STATE OF NORTH DAKOTA
SECURITIES COMMISSIONER
NASD
NASD REGULATION, INC.
STATE OF MICHIGAN
NASD DISTRICT #3
STATE OF MISSOURI EX REL. SECRETARY OF STATE ROBIN CARNAHAN AND THE MISSOURI COMMISSIONER OF SECURITIES
NASD, DIST. 2
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., DISTRICT 2
IOWA
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
TEXAS STATE SECURITIES BOARD
OH DEPT OF INSURANCE
LOUISIANA DEPARTMENT OF INSURANCE
COMMONWEALTH OF VIRGINIA BUREAU OF INSURANCE
THE GEORGIA DEPARTMENT OF INSURANCE
COMMONWEALTH OF MASSACHUSETTS DIVISION OF INSURANCE
STATE OF SOUTH CAROLINA SECURITIES DIVISION
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NASD
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NASD REGULATION, INC.
NASD
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DEPT. OF THE SECRETARY OF STATE, STATE OF
NORTH CAROLINA
DENIAL OF REGISTRATION BY THE STATE OF
ALABAMA 6/24/94
STATE OF ALABAMA DEPT OF INSURANCE
NASD DISTRICT BUSINESS CONDUCT COMMITTEE FOR
DISTRICT NO. 5
OHIO DIVISION OF SECURITIES
COMMONWEALTH OF VIRGINIA, BUREAU OF INSURANCE
STATE OF NEW YORK INSURANCE DEPARTMENT
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NASDR
FLORIDA DEPARTMENT OF FINANCIAL SERVICES
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SEC. OF STATE SECURITIES DIVISION.
COMMISSIONER OF BANKING, INSURANCE &
SECURITIES OF *SEE FAQ #1*
NASD`S DBCC FOR DISTRICT #3
NASD
NASD
STATE OF ILLINOIS SECRETARY OF STATE SECURITIES DEPARTMENT
THE CALIFORNIA DEPARTMENT OF CORPORATIONS
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STATE OF MISSOURI
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DEPARTMENT OF LABOR & ECONOMIC GROWTH
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FINANCIAL INDUSTRY REGULATORY AUTHORITY
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STATE OF MICHIGAN
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SECURITIES AND EXCHANGE COMMISSION
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***22F4 WAS ANSWERED ON THE DRP***NYSE
NASD DISTRICT NUMBER 6
NASD - NATIONAL ASSOCIATION OF SECURITIES DEALERS
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
COMMONWEALTH OF MASSACHUSETTS
THE SEC
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NASD DISTRICT #5
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. (NASD)
NASD DISTRICT 9
STATE OF KANSAS SUPREME COURT
ARIZONA CORPORATE COMMISSION
STATE OF FLORIDA DEPARTMENT OF BANKING AND
FINANCE
STATE OF ILLINOIS SECRETARY OF STATE
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CUSTOMER
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SECURITIES AND EXCHANGE COMMISSION
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AND SE*See FAQ #1*
MICHIGAN DEPT. OF COMMERCE, CORPORATION AND
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OFFICE OF THE ATTORNEY GENERAL
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CHICAGO BOARD OF OPTIONS EXCHANGE
STATE OF WASHINGTON, DEPARTMENT OF FINANCIAL INSTITUTIONS
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STATE SECURITIES BOARD OF TEXAS
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NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
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NASD DISTRICT #5
ORIGINALLY A CUSTOMER COMPLAINT, AND THE
OKLAHOMA S*See FAQ #1*
ORIGINALLY A CUSTOMER COMPLAINT, AND THE
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STATE OF MICHIGAN
IT WAS REPORTED BY CLIENTS TO ME THAT
PRIMEVEST STA*See FAQ #1*
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
DISTRICT BUSINESS CONDUCT COMMITTEE FOR NASD
DISTRICT NO. 5.
FLORIDA DIVISION OF SECURITIES
FLORIDA DIVISION OF SECURITIES
NASD DISTRICT 7, ATLANTA
NASD DISTRICT 7, ATLANTA
FINRA
STATE OF FLORIDA, DIVISION OF SECURITIES &
INVESTOR PROTECTION
NASD ADMINISTRATIVE
MASSACHUSETTS SECURITIES DIVISION
NASD- DEPT. OF ENFORCEMENT DOST #8
COMMISSIONER OF SECURITIES, STATE OF GEORGIA
COMMISSIONER OF SECURITIES, STATE OF GEORGIA
PA. STATE SECURITIES COMM.
STATE OF FLORIDA
N.A.S.D. DISTRICT #3
NASD
STATE BOARD OF CERTIFIED PUBLIC ACCOUNTANTS OF LOUISIANA
NASD REGULATION
NEW YORK STOCK EXCHANGE
NEW MEXICO STATE SECURITIES DIVISION
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
AMERICAN STOCK EXCHANGE
AMERICAN STOCK EXCHANGE
NASDR DISTRICT 2
SECURITIES AND EXCHANGE COMMISSION
NEW YORK STOCK EXCHANGE, INC.
NASD
ILLINOIS
NATIONAL ASSOCIATION OF SECURITIES DEALERS
MISSOURI SECRETARY OF STATE/SECURITIES
DIVISION
STATE OF KANSAS, COMMISSIONER OF SECURITIES
NASD
NASD DBCC DISTRICT 8
NASD
NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
SECURITIES AND EXCHANGE COMMISSION
NASD
NASD
FINRA
NEW YORK STOCK EXCHANGE
NASD DISTRICT #10
NASD ROUTINE AUDIT OF HOWARD WEIL LABOUISSE
FRIEDRICHS, INC.
FLORIDA DIVISION OF SECURITITES & INVESTOR
PROTECTI*SEE FAQ #1*
STATE OF ILLINOIS/SECURITIES DEPT.
NASD DISTRICT 10
NASD
DISTRICT 10
FLORIDA DEPARTMENT OF BANKING AND FINANCE
NASD.
OHIO DIVISION OF SECURITIES
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
STATE OF INDIANA
STATE OF WISCONSIN
NASD
NASD
CBOE
STATE OF ALABAMA/ALABAMA SECURITIES
COMMISSION
NEW YORK STOCK EXCHANGE
ILLINOIS INSURANCE DEPARTMENT
NASD REGULATION INC.
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NYSE
NASD
CBOE BUSINESS CONDUCT COMMITTEE
NASDR
NASD REGULATION, INC.
NASD REGULATION, INC
TEXAS STATE SECURITIES BOARD
STATE OF PENNSYLVANIA SECURITIES COMMISSION
STATE OF TEXAS
NASD INC. DISTRICT NO. 2
NASD
SECURITIES AND EXCHANGE COMMISSION
STATE OF INDIANA
FLORIDA
INDIANA DEPT OF INSURANCE
THE NASD
CHICAGO BOARD OPTIONS EXCHANGE
N.A.S.D. DISTRICT BUSINESS CONDUCT COMMITTEE
#5
CALIFORNIA DEPARTMENT OF INSURANCE, INSURANCE COMMISSIONER JOHN GARAMENDI
MARYLAND INSURANCE ADMINISTRATION
STATE OF MAINE BUREAU OF INSURANCE
COMMONWEALTH OF VIRGINIA, DIVISION OF SECURITIES
STATE OF NEW HAMPSHIRE, INSURANCE DEPARTMENT
COMMONWEALTH OF MASSACHUSETTS SECURITIES DIVISON
COMMONWEALTH OF MASSACHUSETTS DIVISION OF INSURANCE
UPON APPLICATION FOR REGISTRATION IN MASS.
BY MR RU*SEE FAQ #1*
STATE OF IDAHO
TEXAS STATE SECURITIES BOARD
NASD
STATE OF HAWAII DEPARTMENT OF COMMERCE AND
CONSUMER AFFAIRS
ILLINOIS INSURANCE COMMISSION
NASD
NASD
STATE OF MICHIGAN DEPT OF COMMERCE AND INDUSTRY
STATE OF NEW YORK INSURANCE DEPARTMENT
COMMONWEALTH OF VIRGINIA, STATE CORPORATION COMMISSION, DIVISION OF SECURITIES AND RETAIL FRANCHISING
NASD REGULATION, INC.
FLORIDA DIVISION OF SECURITIES AND INVESTORS
PROTEC*SEE FAQ #1*
NASD
ILLINOIS DEPARTMENT OF FINANCIAL
INSTITUTIONS
NASD REGULATION, INC.
NASD DISTRICT 4
NASD
NASD
NEW YORK STOCK EXCHANGE
ARKANSAS SECURITIES DEPARTMENT
NASD
NASD
MARYLAND DIVISION OF SECURITIES
STATE OF NEW HAMPSHIRE BUREAU OF SECURITIES
MISSOURI
NASD DISTRICT #8
TENN DEPT. OF COMMERCE & INSURANCE SEC.
DIVISION
TEXAS STATE SECURITIES BOARD
ILLINOIS SECURITIES DEPARTMENT
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE OF ALABAMA
ARKANSAS DEPT. OF INSURNANCE INITIALLY DENIED L/H LICENSE. UPON A LIVE HEARING THE STATE GRANTED APPROVAL.
NORTH CAROLINA DEPT OF INSURANCE INITIALLY DENIED L/H LICENSE. UPON A LIVE HEARING THE STATE GRANTED APPROV
STATE OF ILLLINOIS DEPT OF SECURITIES
NASD
COMMONWEALTH OF MASSACHUSETTS
ARKANSAS SECURITIES DEPARTMENT
NASD
N.A.S.D.
NASD
DRP FILED IN ERROR - DUPLICATE OF OCCURRENCE 16567.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD
NASD
NASD
NASD
CONNECTICUT
STATE OF WISCONSIN
NASD
NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
NASD DISTRICT 7 BUSINESS CONDUCT COMMITTEE
NASD DISTRICT 5 BUSINESS CONDUCT COMMITTEE
NEW YORK STOCK EXCHANGE
NASD DIST. BUSINESS CONDUCT COMMITTEE FOR
DISTRICT NO. 6
NASD
ARKANSAS BAR ASSOCIATION
MONTANA STATE SECURITIES DEPT
N.F.A.
STATE OF VERMONT, DEPT OF BANKING, INSURANCE
& SECURITIES
NATIONAL ASSOCIAITON OF SECURITIES DEALERS
SECURITIES DIVISION, STATE OF VERMONT
STATE OF MICHIGAN, DEPT. OF COMMERCE,
CORPORATION &*See FAQ #1*
STATE OF NEW JERSEY - BUREAU OF SECUTITIES
NASD, DEPARTMENT OF ENFORCEMENT
NASD
COMMONWEATH OF VA.
SELF - VOLUNTARILY FILED IA REGISTRATION WITH STATE OF MARYLAND
DISTRICT OF COLUMBIA PUBLIC SERVICE
COMMISSION
NEW YORK STOCK EXCHANGE
NASD REGULATION
STATE OF FLORIDA - DIVISION OF SECURITIES
STATE OF FLORIDA, DIVISION OF SECURITIES
STATE OF CONNECTICUT; DEPARTMENT OF BANKING
NASD REGULATION INC.
22E(4), STATE OF ILLINOIS SECURITIES DEPT.
STATE OF WISCONSIN SECURITIES COMMISSIONER
NASD
NASD DIST. BUS. CONDUCT. COMM. DIST. 5
NASD
ILLINOIS SECURITIES DEPARTMENT
ARKANSAS SECURITIES DEPARTMENT
NASD
DEPARTMENT OF INSURANCE-ALABAMA
STATE OF FLORIDA DEPARTMENT OF BANKING &
FINANCE DI*SEE FAQ #1*
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD
NYSE DIVISION OF ENFORCEMENT
MASSACHUSETTS SECURITIES DIVISION
SECRETARY OF STATE - COMMON WEALTH OF
MASSACHUSETTS
SC SECURITIES DIVISION
STATE OF VIRGINIA
OFFICE OF THE SECRETARY OF STATE OF THE STATE OF MISSOURI
ALABAMA SECURITIES COMMISSION
SCURITIES EXCHANGE COMMISSION
ALABAMA
FINRA
NASD REGULATION, INC.
NASD REGULATION, INC.
FINRA
CHICAGO BOARD OPTIONS EXCHANGE
NASD
ILLINOIS
SEC
THE CHICAGO BOARD OPTIONS EXCHANGE
SECURITIES COMMISSIONER OF THE STATE OF
KANSAS
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NYSE
MASSACHUSETTS SECURITIES DIVISION
NEBRASKA DEPARTMENT OF BANKING AND FINANCE,
BUREAU *See FAQ #1*
N.A.S.D.
FLORIDA DEPARTMENT OF FINANCIAL SERVICES
OFFICE OF AUDITS (OIA) @ CHICAGO BOARD OF
TRADE
INDIANA SECURITIES COMMISSIONER
SC SECURITIES DIVISION
NASD NEW ORLEANS DISTRICT OFFICE
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NATIONAL ASSOCIATION OF SECURITIES DEALERS
REGULATI*SEE FAQ #1*
FLORIDA DEPARTMENT OF FINANCIAL SERVICES
NYSE
FINANCIAL INDUSTRY REGULATORY AUTHORITY
DISTRICT BUSINESS CONDUCT COMMITTEE FOR
DISTRICT NO 7
KENTUCKY OFFICE OF INSURANCE
DISTRICT BUSINESS CONDUCT COMMITTEE DISTRICT
NO. 6
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NATIONAL ASSOCIATION OF SECURITIES DEALERS
UTAH DIVISION OF SECURITIES
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC. DBCC #5
CALIFORNIA DEPARTMENT OF CORPORATIONS
TEXAS STATE SECURITIES BOARD
STATE OF INDIANA
NASD REGULATION
NATIONAL ASSOCIATION OF SECURITIES DEALERS
DISTRICT NUMBER 3A
NASD BUSINESS CONDUCT COMMITTEE
NASD
FLORIDA OFFICE OF FINANCIAL REGULATION
NATIONAL FUTURES ASSOCIATION
ALABAMA SECURITIES COMMISSION
NASD DISTRICT BUSINESS CONDUCT COMMITTEE,
DISTRICT #5
STATE OF MICHIGAN
NASD
CHICAGO BOARD OF TRADE
NASD - DISTRICT 6
TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY
NASD DISTRICT CONDUCT COMMITTEE FOR DISTRICT
#5 (NEW ORLEANS)
THE STATE OF MICHIGAN
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE OF MICHIGAN
STATE INSURANCE DEPARTMENT
STATE OF MO SECRETARY OF STATE
NASD -MARKET SURVEILLANCE COMMITTEE
STATE OF FLORIDA
STATE OF INDIANA
TEXAS
BUSINESS CONDUCT COMMITTEE, NFA
STATE OF WISCONSIN
NEW YORK STOCK EXCHANGE
THE STATE OF MICHIGAN
NEW YORK STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS.
PA SECURITIES COMMISSION
STATE OF CONNECTICUT DEPARTMENT OF BANKING
FLORIDA DIVISION OF SECURITIES AND INVESTOR PROTECTION
OFFICE OF SECRETARY OF STATE, STATE OF MISSOURI
STATE OF NORTH DAKOTA
NASD
DEPARTMENT OF INSURANCE IN ALABAMA
NORTH DAKOTA DEPARTMENT OF INSURANCE
IOWA INSURANCE DIVISION
NASD
NASD
NORTH DAKOTA SECURITIES COMMISSIONER
STATE OF MICHIGAN
NYSE
STATE OF OKLAHOMA DEPARTMENT OF SECURITIES
COPY OF PROSPECTING LETTER SENT ANONYMOUSLY
TO ISB-*See FAQ #1*
NEW YORK STATE INSURANCE DEPARTMENT
NASD REGULATION INC.
NASD
NEW YORK STOCK EXCHANGE
STATE OF MISSOURI EX REL. SECRETARY OF STATE ROBIN CARNAHAN AND THE MISSOURI COMMISSIONER OF SECURITIES
BUSINESS DISTRICT CONDUCT COMMITTEE - NEW
ORLEANS DISTRICT 5
OHIO DIVISION OF SECURITIES
NASDR
MINN DEPT OF REVENUE
NEW JERSEY BUREAU OF SECURITIES
STATE OF WISCONSIN COMMISSIONER OF INSURANCE
OHIO DIVISION OF SECURITIES
NASD
ILLINOIS
NASD
COMMISSIONER OF INSURANCE OF THE STATE OF
WISCONSIN
THE CINCINNATI STOCK EXCHANGE ("CSE")
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
REGULATI*SEE FAQ #1*
STATE OF FLORIDA
CHICAGO BOARD OPTIONS EXCHANGE
PENNSYLVANIA SECURITIES COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS
KANSAS SECURITIES COMMISSION
ARIZONA
NASD DBCC FOR DIST #8.
NASD
NATIONAL ASSOCIATION OF SECURITY DEALERS
STATE OF NEW YORK INSURANCE DEPARTMENT
CHICAGO BOARD OF OPTION EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
PSE (PACIFIC STOCK EXCHANGE)
NASD
NASD REGULATIONS, INC.
STATE OF RHODE ISLAND AND PROVIDENC
PLANTATIONS, DE*SEE FAQ #1*
STATE OF WISCONSIN
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
NASD - DISTRICT 10
NASD
FINRA
STATE OF INDIANA OFFICE OF THE SECRETARY OF STATE, SECURITIES DIVISION.
OSEC
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC
COMMERCE DEPT STATE OF MINNESOTA
EDWARD NEWTON/COORDINATING ANALYST
ADVERTISING DEPT*See FAQ #1*
THE STATE OF NEW MEXICO
STATE - GEORGIA
NASD
TEXAS STATE SECURITIES BOARD
GEORGE & JOYCE JONES; INDIANA SECRETARY OF
STATE SE*See FAQ #1*
STATE OF INDIANA
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE OF FLORIDA, DEPT OF FINANCIAL SERVICES
NASD
NASD
STATE OF FLORIDA
STATE OF NEW MEXICO SECURITIES DIVISION
INDIANA SECURITIES DIVISION
MISSOURI SECRETARY OF STATE - DIVISION OF SECURITIES
TEXAS STATE SECURITIES BOARD (TSSB)
NASD DISTRICT 8
FINRA
NASD REGULATION
NASD
ARIZONA CORPORATE COMMISSION
CBOE
N.A.S.D.
NEW YORK STOCK EXCHANGE
STATE OF OHIO
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC. DISTRICT #6
TEXAS STATE SECURITIES BOARD
TEXAS STATE SECURITIES BOARD
NASD - NEW ORLEANS DISTRICT OFFICE
UTAH DIVISION OF SECURITIES
THE TREASURER OF THE STATE OF FLORIDA, DEPARTMENT OF INSURANCE
U.S. SECURITIES AND EXCHANGE COMMISSION
FINRA
STATE OF COLORADO DIVISION OF SECURITIES
CHICAGO BOARD OPTIONS EXCHANGE
STATE OF MICHIGAN
NATIONAL ASSOCIATION OF SECURITIES DEALERS
INC.
NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
ILLINOIS
STATE OF GEORGIA
STATE OF MISSOURI
NASD
SECURITIES AND EXCHANGE COMMISSION
NASD DBCC DISTRICT 5
STATE OF FLA.
NASD DISTRICT 5 DBCC
STATE OF OKLAHOMA, DEPARTMENT OF SECURITIES
NASD-5
STATE OF NEBRASKA DEPT OF INSURANCE
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
UTAH STATE SECURITIES COMMISSIONER
NASD DISTRICT 8 BUSINESS CONDUCT COMMITTEE
CBOE
ALABAMA SECURITIES COMMISSION
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NEW YORK STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE OF NORTH DAKOTA SECURITIES DEPARTMENT
NASD DISTRICT 5
STATE OF TENNESSEE
MISSOURI
DIVISION OF SECURITIES, DEPARTMENT OF FINANCIAL INSTITUTIONS, STATE OF WISCONSIN
MICHIGAN
AMERICAN STOCK EXCHANGE
STATE OF ILLINOIS DEPT. OF INSURANCE
STATE OF IDAHO, DEPARTMENT OF FINANCE
NASD
TEXAS STATE SECURITIES BOARD
TENNESSEE SECURITIES DIVISION
NASD
DISTRICT CONDUCT COMMITTEE FOR DISTRICT NO.
3 OF THE NASD.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
AMERICAN STOCK EXCHANGE
STATE OF ILLINOIS
COMMISSIONER OF INSURANCE OF THE STATE OF KANSAS
DEPARTMENT OF INSURANCE OF THE STATE OF
NEBRASKA
STATE OF WISCONSIN / OFFICE OF THE COMMISSIONER OF INSURANCE
ILLINOIS
NASD
STATE OF ILLINOIS
NASDR - DISTRICT 10
NYSE
SUPERINTENDENT OF SECURITIES OF THE STATE OF
IOWA
THE COMMONWEALTH OF MASSACHUSETTS, OFFICE OF
THE SE*See FAQ #1*
AMERICAN STOCK EXCHANGE
NASD
REGULATOR - STATE OF MISSOURI
REGULATOR - NEW YORK STOCK EXCHANGE
NEW YORK STOCK EXCHANGE
F.D.I.C.
NASD
NASD REGULATION INC.
ILLINOIS SECURITIES DEPARTMENT
STATE OF INDIANA DIVISION OF SECURITIES
NASD BUSINESS CONDUCT COMMITTEE
COMMISSIONER OF SECURITIES, STATE OF
WISCONSIN
NASD
NASD
NASD
CHICAGO BOARD OPTIONS EXCHANGE
STATE OF GEORGIA
SUPERINTENDENT OF BANKING VS. GRUNTAL & CO.
AND RIC*SEE FAQ #1*
* SECURITIES COMMISSIONER OF THE STATE OF
KANSAS-V-*See FAQ #1*
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD
NEW YORK STOCK EXCHANGE
NEW YORK STOCK EXCHANGE
STATE OF NEBRASKA
ILLINOIS SECURITIES DEPARTMENT
NASD
NASD
THE PROCEEDINGS WERE INITIATED BY DISTRICT
BUSINESS*See FAQ #1*
NASD DISTRICT 10
NASD
NASD DISTRICT BUSINESS CONDUCT COMMITTEE FOR
DISTRICT NO. 9/
STATE OF FLORIDA
BUSINESS CONDUCT COMMITTEE OF CHICAGO BOARD
OF OPTIONS EXCHANGE
NASD
STATE OF MARYLAND
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
CARRIE QUINN MADE COMPLAINT TO NASD. QUINN
DROPPED *See FAQ #1*
NASD
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
FINRA
COMMERCE INVESTMENT CORP.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., DISTRICT NO. 5
STATE OF ILLINOIS,SECRETARY OF STATE SECURITIES DEPARTMENT
MISSOURI DIVISION OF SECURITIES
STATE OF MINNESOTA
NASD
FLORIDA DIVISION OF SECURITIES
AMERICAN STOCK EXCHANGE
KANSAS SECURITIES COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
FLA. DIV. OF SECURITIES AND INVESTOR
PROTECTION
NASD (ADDRESS LISTED BELOW)
ARKANSAS SECURITIES DEPARTMENT
NATIONAL ASSOCIATION OF SECURITIES DEALERS, DISTRICT NO. 5
NASD
NASD
WISCONSIN
TEXAS SECURITIES BOARD
NASD
OKLAHOMA
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NASD
NASD
STATE OF OHIO
NASD
NASD REGULATION INC.
VIRGINIA STATE CORPORATION COMMISSION, DIVISION OF SECURITIES.
PENNSYLVANIA SECURITIES COMMISSION
IOWA
NASD
NASD
S.E.C.
STATE OF MONTANA-COMMISSIONER OF SECURITIES
NASD REGULATION, INC.
NASD
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
NO.5
ILLINOIS
STATE OF MISSOURI EX REL. SECRETARY OF STATE ROBIN CARNAHAN AND THE MISSOURI COMMISSIONER OF SECURITIES
STATE OF ARIZONA
COMMODITY FUTURES TRADING COMMISSION
NASD
NASD
CHICAGO BOARD OPTIONS EXCHANGE INC.
ARIZONA STATE BOARD OF ACCOUNTANCY
NASD
REGULATOR- STATE OF SOUTH DAKOTA
NYSE MARKET SURVEILLANCE
MICHIGAN
NASD REGULATION, INC.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
NASD DISTRICT 10, DISTRICT BUSINESS CONDUCT
COMMITTEE
FLORIDA
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
ILLINOIS DEPARTMENT OF STATE - SECURITIES DEPARTMENT
STATE OF PENNSYLVANIA
STATE OF INDIANA
STATE OF WISCONSIN
STATE OF OHIO
NASD AS A RESULT OF CUTOMER COMPLAINT
GEORGIA SECURITIES COMMISSION
NASD, INC.
DBCC #5
NASD
SEC
NASD DBCC DISTRICT 4
Not Provided
STATE OF ALABAMA
STATE OF NEBRASKA DEPARTMENT OF BANKING AND
FINANCE
STATE OF NEBRASKA, DEPARTMENT OF INSURANCE
KANSAS DEPARTMENT OF INSURANCE
NEW YORK STOCK EXCHANGE
STATE OF CONNECTICUT DEPARTMENT OF BANKING
STATE OF ARIZONA
COMMISSIONER OF SECURITIES, STATE OF GEORGIA
STATE OF ILLINOIS, SECRETARY OF STATE,
SECURITIES DEPARTMENT
MISSOURI
NASD
NASD
US SECURITIES AND EXCHANGE COMMISSION
NASD REGULATION INC.
STATE OF ILLINOIS SECURITIES DEPARTMENT
FINRA
NASD REGULATION, INC.
NASD DISTRICT NO. 5
NASD DBCC DISTRICT NO. 6; CUSTOMER ARNOLD SCHUELER
STATE OF NEBRASKA
COLORADO DIVISION OF INSURANCE
STATE OF VERMONT
WISCONSIN COMMISSIONER OF INSURANCE
MINNESOTA
NASD
MINNESOTA
OKLAHOMA SECURITIES COMMISSION
WISCONSIN
STATE OF FLORIDA, DEPT. OF BANKING NAD
FINANCE, DIV*SEE FAQ #1*
MASSACHUSETTS SECURITIES DIVISION
NASD DISTRICT BUSINESS CONDUCT COMMITTEE FOR
DISTRICT NO 5
ILLINOIS DEPT. OF INSURANCE
NASD EXAMINOR - COMPLAINT #C8A950083-AWC
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NYSE
NASD
ARKANSAS STATE SECURITIES COMMISSION
MASSACHUSETTS
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
THE STATE OF TENNESSEE
NASD
THE CHICAGO BOARD OF OPTIONS EXCHANGE
NASD DISTRICT 4
NEW YORK STOCK EXCHANGE DIVISON OF
ENFORCEMENT.
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
CBOE
STATE OF NORTH CAROLINA
CHICAGO BOARD OPTIONS EXCHANGE, INC.
BUSINESS CONDUCT COMMITTEE
CHICAGO BOARD OPTIONS EXCHANGE, INC.
BUSINESS CONDUCT COMMITTEE
AMERICAN STOCK EXCHANGE
NEW YORK STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
AMERICAN STOCK EXCHANGE INC.
NASD
STATE OF WASHINGTON
CALIFORNIA DEPARTMENT OF CORPORATIONS
NASD DISTRICT 2
NASD DBCC
AMERICAN STOCK EXCHANGE
NASD DALLAS DISTRICT 6
OKLAHOMA SECURITIES COMMISSION, OKLAHOMA
CITY, OKLAHOMA
N.A.S.D.
ARKANSAS SECURITIES DEPARTMENT.
N.A.S.D.
NASD DISTRICT 7 BUSINESS CONDUCT COMMITTEE
NASD
SECURITIES & EXCHANGE COMMISSION
DISTRICT BUSINESS CONDUCT COMMITTEE
NASD REGULATION, INC.
NASD REGULATION, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS
AMERICAN STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES
ALABAMA INSURANCE DEPARTMENT
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NEW YORK STOCK EXCHANGE, INC.
NASD REGULATION INC., DISTRICT #5
NASD REGULATION, INC., DISTRICT #5
THE STATE OF KANSAS
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
NASD
SECURITIRES AND EXCHANGE COMMISSION
NASD REGULATION, INC.
NASD REGULATION,INC.
NASD
STATE OF GEORGIA
SECURITIES AND EXCHANGE COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
SEE ATTACHED DECISION FROM NASD
NASD, DISTRICT #5
STATE OF FLORIDA
FRANCES WEIDER
NASD
CHICAGO BOARD OF OPTION EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
STATE OF ARKANSAS SECURITIES DEPARTMENT
FLORIDA
NASD
NASD
TENNESSEE SECURITIES DIVISION
DIVISION OF SECURITIES-STATE OF UTAH
NASD
STATE OF ALABAMA SECURITIES COMMISSION
NASD DISTRICT II BUSINESS CONDUCT COMMITTEE
NASD DISTRICT 9 BUSINESS CONDUCT COMMITTEE
SOUTH DAKOTA DEPARTMENT OF COMMERCE &
REGULATION, D*See FAQ #1*
AMEX
NASD
NASD
ARKANSAS SECURITIES COMMISSIONER
NASD
NASD
NASD
NASD
MASSACHUSETTS SECURITIES DIVISION
NASD
NASD - DISTRICT BUSINESS CONDUCT COMMITTEE,
ATLANTA, GA
STATE OF GEORGIA
NASD
MISSOURI
GEORGIA
ILLINOIS SECURITIES DEPARTMENT
NEW YORK STOCK EXCHANGE
NASD
NASD
INDIANA
SECURITIES AND EXCHANGE COMMISSION
NASD
NASD
NASD
NASD
NASD
NEW YORK STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD-CHICAGO DISTRICT 8 BUSINESS CONDUCT
COMMITTEE
SECURITIES AND EXCHANGE COMMISSION
NASD-CHICAGO DISTRICT 8 BUSINESS CONDUCT
COMMITTEE
NASD-CHICAGO DISTRICT 8 BUSINESS CONDUCT
COMMITTEE
NASD-CHICAGO DISTRICT 8 BUSINESS CONDUCT
COMMITTEE
STATE OF KS
NATIONAL ASSOCIATION OF SECURITY DEALERS
SECURITIES AND EXCHANGE COMMISSION
CHICAGO BOARD OPTIONS EXCHANGE BUSINESS
CONDUCT COMMITTEE
NASD NEW ORLEANS DISTRICT OFFICE
NASD
NASD
NASD
NASD
NASD
NASD
NASD DISTRICT 10
NASD DISTRICT 10
STATE OF MARYLAND
NEW JERSEY BUREAU OF SECURITIE4S ("BUREAU")
NASD
MARYLAND SECURITIES COMMISSIONER
NATIONAL ASSOCIATION OF SECURITIES DEALERS,
INC.
NASD DISTRICT 8
NASD REGULATION, INC., DISTRICT 8
NEW YORK STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NASD
STATE OF GEORGIA
STATE OF TENNESSEE
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
DISTRICT NO. 5
NASD REGULATION, INC.
CHICAGO BOARD OF OPTIONS EXCHANGE
CHICAGO BOARD OF OPTIONS EXCHANGE
NASD
NYSE
NYSE DIVISION OF ENFORCEMENT
NEW YORK STOCK EXCHANGE
STATE OF DELAWARE SECURITIES DIVISION
SEC PROCEEDING 3-5365
NEW YORK DEPARTMENT OF INSURANCE
NASD DISTRICT 8 BUSINESS CONDUCT COMMITTEE
STATE OF ILLINOIS
NASD
NASD
CUSTOMER NASD
NASD REGULATOR
STATE OF OREGON
NYSE DIVISION OF ENFORCEMENT
SECRETARY OF THE COMMONWEALTH, MASSACHUSETTS SECURITIES DIVISION (MSD)
INSURANCE DIVISION OF IOWA W. DES MOINES
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD REGULATION INC. DISTRICT 2
COLORADO DEPT OF SECURITIES - STATE AGENCY
NASDR DISTRICT BUSINESS CONDUCT
COMMITTEE-DISTRICT 4
NASD
FLORIDA
SECURITIES AND EXCHANGE COMMISSION
REGULATOR NASD
REGULATOR NASD
NASD RULES 1022(F), 2110,8210, 1M-1022-1. LAWRENCE KIRSHBAUM RESPONDED TO NASD REQUESTS FOR INFORMATION
FINRA
DEPARTMENT OF LABOR (DOL)
SEC
STATE OF WISCONSIN
FINRA
NEW HAMPSHIRE BUREAU OF SECURITIES
GEORGIA SECURITIES DEPARTMENT
GEORGIA SECURITIES DEPARTMENT
INDIANA SECURITIES DEPARTMENT.
GEORGIA
NASD - NATIONAL ASSOCIATION OF SECURITIES DEALERS
NASD - NATIONAL ASSOCIATION OF SECURITIES DEALERS.
NASD - NATIONAL ASSOCIATION OF SECURITIES DEALERS.
STATE OF FLORIDA, DEPARTMENT OF INSURANCE
NASD
SECURITIES AND EXCHANGE COMMISSION
* DISTRICT BUSINESS CONDUCT COMMITTEE FOR
NASD DIST*See FAQ #1*
STATE OF ILLINOIS DEPARTMENT OF INSURANCE
ARKANSAS SEC
CBOT
ARIZONA SEC
NYSE
NYSE
FLORIDA SEC
OKLA SEC
ALABAMA SECURITIES COMMISSION
NASD
NASD
SECURITIES & EXCHANGE COMMISSION
STATE OF IDAHO, DEPT. OF FINANCE, SECURITIES
NASD
NASD AUDITORS
NEW YORK STOCK EXCHANGE
STATE OF WISCONSIN SECURITIES COMMISSIONER'S
OFFICE
NEBRASKA DEPARTMENT OF BANKING & FINANCE
SECURITIES AND EXCHANGE COMMISSION
ALABAMA SECURITIES COMMISSION
NASD-ATLANTA
NASD-ATLANTA
NASD
MASSACHUSETTS
UNIDENTIFIED INDIVIDUAL
SECURITIES AND EXCHANGE COMMISSION
ARKANSAS SECURITIES DEPARTMENT
STATE OF WYOMING, SECRETARY OF STATE
COLORADO
NASD DIST #4
COMMISSIONER, VERMONT DEPARTMENT OF SECURITIES
ARKANSAS SECURITIES DEPARTMENT
NASD DISTRICT CONDUCT COMMITTEE DISTRICT #5
NASD DISTRICT #5
NATIONAL ASSOCIATION OF SECURITIES DEALERS INC.
ARKANSAS
IOWA
GEORGIA
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
DISTRICT BUSINESS CONDUCT COMMITTEE NO 6.
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
DISTRICT 6
NEW YORK STOCK EXCHANGE
NEW YORK STOCK EXCHANGE
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
STATE OF MISSOURI
VIRGINIA - DIVISION OF SECURITIES
N.A.S.D.
OHIO
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
DISTRICT CONDUCT COMMITTEE FOR DISTRICT 1
SECURITIES AND EXCHANGE COMMISSION
DELAWARE SECURITIES DIVISION
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE SECURITIES BOARD OF TEXAS
TEXAS STATE SECURITIES BOARD
CHICAGO BOARD OPTIONS EXCHANGE
NASD
MISSOURI SECURITIES DIVISION
NASD
NASD
STATE OF OHIO
STATE OF MINNESOTA
STATE OF OHIO, DEPARTMENT OF COMMERCE
NASD
STATE OF WISCONSIN DIVISION OF SECURITIES
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
DISTRICT #2
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD
NASD DISTRICT NO. 11 BUSINESS CONDUCT
COMMITTEE.
NASD DISTRICT NO. 11 BUSINESS CONDUCT
COMMITTEE.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD - DIST. #5
NASD - DIST. #5
THE STATE OF TENNESSEE
STATE OF DELAWARE
NYSE
COMMODITY FUTURES TRADING COMMISSION (CFTC)
NASD DALLAS OFFICE DBCC NO. 6
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NYSE DIVISION OF ENFORCEMENT
COMPTROLLER OF THE CURRENCY
NASD REGULATION
NASD REGULATION
NASD
SECURITIES AND EXCHANGE COMMISSION
DRP WAS FILED IN ERROR
SECURITIES AND EXCHANGE COMMISSION
SECURITIES AND EXCHANGE COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NATIONAL ASSOCIATION OF SECURITIES DEALERS
STATE OF VERMONT
NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
DISTRICT OF COLUMBIA
MONTANA STATE AUDITOR
SECURITIES DEPARTMENT
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING**
STATE OF UTAH
DEPT. OF COMMERCE
DIVISION OF SECURITIES
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING**
WISCONSIN
OHIO
NEW JERSEY OFFICE OF THE ATTNY GENERAL
BUREAU OF SECURITIES
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING*
STATE OF FLORIDA
OFFICE OF FINANCIAL REGULATION
**DOCKET/CASE NUMBER LISTED IN ITEM #4**
MARYLAND SECURITIES COMMISSIONER
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING**
STATE OF CALIFORNIA
COMMISSIONER OF CORPORATIONS
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING**
COMMONWEALTH OF KENTUCKY
OFFICE OF FINANCIAL INSTITUTIONS
**THERE IS NO DOCKET/CASE NUMBER ASSOCIATED WITH THIS UNDERTAKING**
MARYLAND SECURITIES COMMISSIONER
NEW YORK STOCK EXCHANGE
AMERICAN STOCK EXCHANGE, INC.
NEW YORK STOCK EXCHANGE
STATE OF TEXAS
NEW YORK STOCK EXCHANGE, INC.
NASD, INC
NASD INC.
KANSAS INSURANCE DEPARTMENT
NASD
NASD
NASD
STATE OF TENNESSEE SECURITIES DIVISION
VIRGINIA STATE CORPORATION COMMISSION
ILLINOIS SECURITIES DEPARTMENT
DEPUTY SECURITIES ADMINISTRATOR OF NORTH
CAROLINA
MONTANA SECURITIES DEPARTMENT
ARKANSAS SECURITIES DIVISION
GEORGIA COMMISSIONER OF SECURITIES
ALABAMA SECURITIES COMMISSION
SECURITIES DIVISION, STATE OF TENNESSEE
STATE OF INDIANA
DISTRICT #8 NASD
PIPER JAFFRAY
MARYLAND SECURITIES DIVISION
NEW YORK STOCK EXCHANGE
NASD DISTRICT BUSINESS CONDUCT
COMMITTEE-DISTRICT 7
NEW YORK STOCK EXCHANGE
NEW YORK STOCK EXCHANGE
NYSE
SECURITIES AND EXCHANGE COMMISSION
NASD EXAMINATION
ARKANSAS
NASD
NASD BUSINESS CONDUCT COMMITTEE
SECURITIES AND EXCHANGE COMMISSION
NASD DISTRICT V BCC
NYSE
NYSE
FLORIDA
NASD
* NASD DISTRICT 10 BUSINESS CONDUCT COMM.
COMMONWEALTH OF VA/STATE CORPORATION
COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
KANSAS SECURITIES COMMISSIONER
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
INC.
CHICAGO BOARD OPTIONS EXCHANGE
VERMONT SECURITIES DIVISION
NEW YORK STOCK EXCHANGE ("NYSE")
STATE OF ALABAMA
NASD DISTRICT BUSINESS CONDUCT COMMITTEE
DEPT OF INSURANCE STATE OF KY.
NEBRASKA DEPARTMENT OF BANKING AND FINANCE,
BUREAU *SEE FAQ #1*
THE STATE OF WISCONSIN
SECURITIES EXCHANGE COMMISSION
STATE OF WISCONSIN - WISCONSIN SECURITIES COMMISSIONER
INDIANA SECURITIES DIVISION
THE COMMONWEALTH OF MASSACHUSETTS - SECURITIES DIVISION
FINRA
STATE OF ILLINOIS
NASD NOTICE OF ACCEPTANCE, WAIVER AND CONSENT NO. CLI050002.
STATE OF GEORGIA SECURITIES COMMISSION
NASD
STATE OF ILLINO*SEE FAQ #1*
NASD
ILLINOIS
NASD
REGULATOR-MONTANA SECURITIES DEPARTMENT
N.A.S.D.
ALASKA DIVISION OF INSURANCE
NATIONAL FUTURES ASSOCIATION
NYSE DIVISION OF ENFORCEMENT
TEXAS STATE SECURITIES BOARD
STATE OF INDIANA
STATE OF OHIO; DEPARTMENT OF COMMERCE; DIVISION OF SECURITIES.
FINRA
NATIONAL ASSOCIATION OF SECURITIES DEALERS
SOUTH CAROLINA SECURITIES DIVISION
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
NASD
STATE OF WISCONSIN DEPARTMENT OF INSURANCE
STATE OF ALABAMA
NASD REGULATION, INC.
OHIO DIVISION OF SECURITIES
ILLINOIS
STATE OF MICHIGAN DEPT. OF COMMERCE
STATE OF MICHIGAN, DEPARTMENT OF COMMERCE,
CORPORAT*See FAQ #1*
MISSOURI
REGULATOR
STATE OF MISSOURI-MISSOURI SECRETARY OF
STATE SECUR*See FAQ #1*
NASD
NASD
STATE OF HAWAII
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NEW YORK STOCK EXCHANGE, INC.
NASD DISTRICT 5
NASD REGULATION INC
NATIONAL ASSOCIATION OF SECURITIES DEALERS INC.
ALABAMA
OKLAHOMA BAR ASSOCIATION-OKLAHOMA SUPREME
COCURT
STATE
OF MARYLAND
MISSOURI SECURITIES DIVISION
NASD
DISTRICT OF COLUMBIA
STATE OF SOUTH DAKOTA - DEPT OF COMMERCE &
REGULATI*SEE FAQ #1*
INDIANA SECURITIES DIVISION
STATE OF MISSOURI EX REL. SECRETARY OF STATE ROBIN CARNAHAN AND THE MISSOURI COMMISSIONER OF SECURITIES
NASD
ILLINOIS
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS
FLORIDA DEPARTMENT OF FINANCIAL SERVICES
STATE OF MISSOURI EX REL. SECRETARY OF STATE ROBIN CARNAHAN AND THE MISSOURI COMMISSIONER OF SECURITIES
TEXAS STATE SECURITIES BOARD
MO.
NASD
NATIONAL ASSOCIATION OF SECURITIES DEAELRS, INC.
STATE OF ILLINOIS
INDIANA SECURITIES COMMISSION
CHICAGO BOARD OPTIONS EXCHANGE
ALABAMA SECURITIES COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS.
COMMISSIONER OF ISURANCE
STATE OF TEXAS
COLORADO DIVISION OF INSURANCE
NASD
FINRA
STATE OF TEXAS SECURITIES COMMISSION
NASD REGULATION, INC. DISTRICT 9B
PENNSYLVANIA SECURITIES COMMISSION
NORTH CAROLINA SECURITIES DIVISION
STATE OF GEORGIA
TEXAS SECURITIES BOARD
BOARD OF GOVERNERS OF THE FEDERAL RESERVE
SYSTEM.
NASD
TEXAS STATE SECURITIES COMMISSION
NATIONAL ASSOCIATION OF SECURITIES DEALERS
NEW MEXICO SECURITIES DIVISION
UTAH DIVISION OF SECURITIES
U.S. SECURITIES AND EXCHANGE COMMISSION
ILLINOIS SECURITIES DEPARTMENT
ILLINOIS SECRETARY OF STATE, SECURITIES
DEPARTMENT
ALABAMA SECURITIES COMMISSION
TEXAS STATE SECURITIES BOARD
THE STATE OF WISCONSIN
CHICAGO BOARD OF OPTIONS EXCHANGE
CHICAGO BOARD OF OPTIONS EXCHANGE
CHICAGO BOARD OPTIONS EXCHANGE
STATE OF TEXAS
STATE OF VIRGINIA
AMERICAN STOCK EXCHANGE, LLC
ILLINOIS SECURITIES DEPARTMENT
STATE OF INDIANA
VERMONT
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
COMMITTEE ON CHARACTER FOR NEW JERSEY
ATTORNEYS
NASD
NASD
STATE OF NJ DEPT OF INSURANCE
NASD
NASD
NYSE DIVISION OF ENFORCEMENT
OREGON DIVISION OF FINANCE AND CORPORATE SECURITIES
NEW JERSEY BUREAU OF SECURITIES
STATE OF WASHINGTON
NASD
STATE OF MISSOURI SECURITIES DIVISION
BOARD OF ACCOUNTANCY
STATE SECURITY BOARD OF TEXAS
CALIFORNIA DEPARTMENT OF CORPORATIONS
NASDR
DIST. #10
WASHINGTON STATE DEPARTMENT OF FINANCIAL INSTITUTIONS
NASD-R
THE DEPARTMENT OF COMMERCE AND INSURANCE FOR
THE ST*See FAQ #1*
OFFICE OF THE COMPTROLLER OF THE CURRENCY
NASD
NASD
STATE OF ILLINOIS
STATE SECURITIES BOARD OF TEXAS
ARKANSAS SECURITIES DEPARTMENT
OFFICE OF INSURANCE AND SAFETY FIRE COMMISSIONER (STATE OF GEORG
IOWA DIVISIONS OF INSURANCE
STATE OF SOUTH CAROLINA DEPARTMENT OF INSURANCE
FLORIDA
MASSACHUSETTS
NASD
ALABAMA SECURITIES COMMISSION
FINRA DEPARTMENT OF ENFORCEMENT
STATE OF NEBRASKA DEPARTMENT OF INSURANCE
IOWA DEPARTMENT OF INSURANCE/IOWA DIVISION
OF INSURANCE
WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS
NASD
ILLINOIS SECURITIES DEPARTMENT
STATE OF ILLINOIS SECRETARY OF STATE SECURITIES DEPARTMENT
STATE OF UTAH
NASD
STAFF
CONNECTICUT
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
STATE OF TEXAS SECURITIES BOARD
CHICAGO BOARD OPTIONS EXCHANGE
SOUTH CAROLINA SECURITIES DIVISION
STATE OF
NORTH CAROLINA
NASD
MISSOURI SECRETARY OF STATE - DIVISION OF SECURITIES
VIRGINIA STATE CORPORATION COMMISSION, DIVISION OF SECURITIES ("DIVISION")
NASD
STATE OF ILLINOIS, SECRETARY OF STATE, SECURITIES DIVISION
VANCOUVER STOCK EXCHANGE
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
ILLINOIS
CHICAGO BOARD OF OPTIONS EXCHANGE
STATE OF ALABAMA DEPARTMENT OF INSURANCE
NASD
ARKANSAS INSURANCE DEPARTMENT
NASD
ILLINOIS SECURITIES DEPARTMENT
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
DEPT. OF INSURANCE/STATE OF CA
FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA)
FINRA
STATE OF SOUTH CAROLINA
NATIONAL ASSOCIATION OF SECURITIES DEALERS
FEDERAL DEPOSIT INSURANCE CORPORATION (FDIC)
THE TORONTO STOCK EXCHANGE
ARIZONA CORPORATION COMMISSION- SECURITIES
DIVISION
NASD
STATE OF MINNESOTA COMMERCE DEPARTMENT
23(D)1 AND 23(D)4, STATE SECURITIES BOARD, TEXAS
NASD
STATE BOARD OF INSURANCE
VANCOUVER STOCK EXCHANGE ("VSE")- NOW KNOWN AS "CDNX"
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
NASD
THE STATE OF TEXAS SECURITIES DIVISION
COMMISSIONER OF INSURANCE, STATE OF GEORGIA
NASD
STATE OF ALABAMA
FINRA FORMERLY NASD
MISSOURI DEPARTMENT OF INSURANCE
NORTH DAKOTA
KS INSURANCE COMMISSIONER
FINRA
LICENSE TO PRACTICE LAW IN THE STATE OF FLORIDA WAS SUSPENDED FOR FAILURE TO MAINTAIN REQUIRED LEVEL OF CON
STATE OF WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE
THE STATE OF TEXAS/STATE SECURITIES BOARD
NEW YORK STOCK EXCHANGE
NASD
INSURANCE COMMISSIONER STATE OF CALIFORNIA
ALABAMA SECURITIES COMMISSION
NASD, INC
ILLNOIS
NASD
ILLINOIS
STATE OF NEBRASKA DEPARTMENT OF BANKING AND FINANCE
STATE OF ALABAMA DEPARTMENT OF INSURANCE
STATE OF WISCONSIN - OFFICE OF THE COMMISSIONER OF INSURANCE
SUPREME COURT OF SOUTH DAKOTA
ALABAMA DEPT. OF INSURANCE
NEW YORK STOCK EXCHANGE DIVISION OF ENFORCEMENT
CALIFORNIA DEPARTMENT OF INSURANCE
NASD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
STATE OF ILLINOIS
TEXAS STATE SECURITY BOARD
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
ILLINOIS
VERMONT
NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
SUPREME COURT OF STATE OF KANSAS
NASD
STATE OF IOWA
SOUTH CAROLINA SECURITIES
STATE OF FLORIDA
STATE OF MICHIGAN
STATE OF ARKANSAS INSURANCE DEPT
NYSE
DIVISION OF SECURITIES DEPT OF FINANCIAL INST.STATE OF WISCONSIN
OKLAHOMA INSURANCE DEPARTMENT
NASD, DISTRICT NO. 8
NEW YORK STOCK EXCHANGE
STATE OF ILLINOIS, SECRETARY OF STATE, SECURITIES DEPT.
NIPPON CREDIT REFERRED THE MATTER TO THE
FEDERAL RESERVE
STATE OF PA DENIED AN INSURANCE LICENSE B/C STILL ON PROBATION FROM A MISDEMEANOR PUBLIC INTOXICATION ARR
STATE OF MISSISSIPPI INSURANCE DEPARTMENT
ARKANSAS SECURITIES DEPT.
LOUISIANA BOARD OF ETHICS
MONTANA
ALABAMA
ALABAMA
SOUTH DAKOTA
IOWA
COMMISSIONER OF COMMERCE AND INSURANCE FOR THE STATE OF TENNESSEE
NASD
STATE OF ILLINOIS
STATE OF WISCONSIN
WASHINGTON STATE BAR ASSOCIATION
MASSACHUSETTS SECURITIES DIVISION ("DIVISION")
TEXAS STATE BAR ASSOCIATION
NASD
STATE OF MISSOURI, DEPARTMENT OF INSURANCE
UTAH DIVISION OF SECURITIES
NASD
ILLINOIS SECURITIES DEPARTMENT
STATE OF ALABAMA DEPARTMENT OF INSURANCE
TEXAS DEPARTMENT OF INSURANCE
NEBRASKA STATE BAR ASSOCIATION
FINRA
MONTANA
THE STATE OF TEXAS, STATE SECURITIES BOARD
STATE OF IOWA (IOWA INSURANCE DIVISION)
NASD
COMMONWEALTH OF PENNSYLVANIA
PENNSYLVANIA SECURITIES COMMISSION
COMMONWEALTH OF PENNSYLVANIA
PENNSYLVANIA SECURITIES COMMISSION
FINRA
CALIFORNIA
STATE OF FLORIDA OFFICE OF FINANCIAL REGULATION
FLORIDA OFFICE OF FINANCIAL REGULATION
TEXAS STATE SECURITIES BOARD
TEXAS STATE SECURITIES BOARD
TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY
TEXAS STATE SECURITIES BOARD
STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS - DIVISION OF SECURITIES
STATE OF WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE
NATIONAL ASSOCIATION OF SECURITIES DEALERS (NASD)
NASD
MONTANA STATE AUDITOR'S OFFICE SECURITIES DEPT
STATE OF IOWA INSURANCE DIVISION
TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY
STATE BAR OF TEXAS
CHICAGO BOARD OF TRADE ("CBOT")
CHICAGO BOARD OF OPTIONS EXCHANGE
NASD
WISCONSIN
STATE OF WISCONSIN
STATE OF ALABAMA
STATE OF WISCONSIN
STATE OF FLORIDA
COMMONWEALTH OF MASSACHUSETTS
COMMONWEALTH OF PENNSYLVANIA, PENNSYLVANIA SECURITIES COMMISSION
STATE OF WISCONSIN, DEPARTMENT OF FINANCIAL INSTITUTIONS
STATE OF SOUTH DAKOTA
STATE OF WASHINGTON, OFFICE OF INSURANCE COMMISSIONER
CHICAGO BOARD OF OPTIONS EXCHANGE
MICHIGAN, OFFICE OF FINANCIAL AND INSURANCE SERVICES
STATE OF ALABAMA, DEPARTMENT OF INSURANCE
STATE OF CONNECTICUT
DEPARTMENT OF INSURANCE, STATE OF NORTH CAROLINA
CONNECTICUT
STATE OF ALABAMA DEPARTMENT OF INSURANCE
STATE BAR OF TEXAS
THE STATE BAR OF CALIFORNIA
SECRETARY OF STATE, BUSINESS REGULATION AND ENFORCEMENT DIVISION
ALABAMA DEPARTMENT OF INSURANCE
DON'T RECALL SPECIFIC STATE; BELIEVE EITHER GA, AL, OR MS
ARKANSAS INSURANCE DEPARTMENT
PENNSYLVANIA DISCLIPLINARY BOARD, OFFICE OF DISCLIPLINARY COUNSEL
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OTHER
OTHER
OTHER
OTHER
OTHER
OTHER
OTHER
CENSURE
OTHER
DENIAL
SUS
CENSURE
CENSURE
CENSURE
SUS
CENSURE
CENSURE
CENSURE
SUS
REVOC
BAR
SUS
SUS
SUS
CENSURE
CENSURE
CENSURE
OTHER
OTHER
CENSURE
CEASEDES
SUS
SUS
OTHER
OTHER
CIVILADM
SUS
REVOC
CIVILADM
CENSURE
SUS
SUS
OTHER
SUS
DENIAL
BAR
SUS
CENSURE
SUS
CEASEDES
SUS
DENIAL
OTHER
CIVILADM
DISGRGMT
CENSURE
SUS
CENSURE
CIVILADM
CEASEDES
OTHER
OTHER
OTHER
COMMISSIONER OF SECURITIES
SUS
CENSURE
OTHER
CIVILADM
COMMISSIONER OF SECURITIES
REPRIM
CEASEDES
CIVILADM
OTHER
CEASEDES
SUS
OTHER
OTHER
CIVILADM
CIVILADM
CENSURE
CEASEDES
CIVILADM
CENSURE
CIVILADM
CIVILADM
DENIAL
OTHER
CEASEDES
DENIAL
CIVILADM
DISGRGMT
CENSURE
OTHER
CIVILADM
SUS
OTHER
OTHER
SUS
CIVILADM
SUS
CENSURE
CEASEDES
CENSURE
CENSURE
REVOC
CENSURE
CEASEDES
OTHER
OTHER
REPRIM
CEASEDES
OTHER
OTHER
OTHER
CEASEDES
UNDERTAKING
SUS
OTHER
OTHER
DENIAL
CIVILADM
REVOC
CIVILADM
CIVILADM
DISGRGMT
REPRIM
CIVILADM
OTHER
OTHER
SUS
SUS
PROHIBTN
CIVILADM
CIVILADM
DISGRGMT
OTHER
SUS
REVOC
SUS
SUS
PROHIBTN
SUS
SUS
CENSURE
CIVILADM
CIVILADM
CIVILADM
CENSURE
CIVILADM
CIVILADM
CEASEDES
SUS
SUS
CIVILADM
CIVILADM
SUS
DENIAL
REPRIM
CENSURE
SUS
SUS
CEASEDES
REVOC
SUS
OTHER
OTHER
CIVILADM
DENIAL
OTHER
CIVILADM
CENSURE
SUS
REVOC
REPRIM
OTHER
REVOC
UNDERTAKING
REPRIM
SUS
OTHER
DENIAL
CEASEDES
CIVILADM
OTHER
DENIAL
OTHER
SUS
OTHER
DENIAL
CIVILADM
CEASEDES
CIVILADM
RESTITTN
CIVILADM
CIVILADM
CIVILADM
REVOC
CIVILADM
REVOC
DENIAL
SUS
SUS
CIVILADM
REVOC
DENIAL
DENIAL
CIVILADM
CIVILADM
OTHER
OTHER
RESTITTN
REPRIM
SUS
CIVILADM
CEASEDES
CEASEDES
REVOC
CEASEDES
CIVILADM
REPRIM
REPRIM
OTHER
REPRIM
DENIAL
OTHER
REVOC
OTHER
REVOC
SUS
CIVILADM
CIVILADM
DENIAL
DENIAL
CIVILADM
CIVILADM
CIVILADM
CIVILADM
CEASEDES
PROHIBTN
OTHER
CIVILADM
CENSURE
DENIAL
CIVILADM
CEASEDES
OTHER
CIVILADM
CIVILADM
SUS
SUS
CEASEDES
OTHER
OTHER
OTHER
SUS
othrSnctn
CENSURE
SUSPENSION FROM SUPERVISORY CAPACITY FOR 9 MONTHS; DISGORGEMENT; CIVIL MONETARY PENALTY.
ADMINISTRATIVE FINE $500
I AM TO "USE EXTREME CAUTION IN THE FUTURE TO ENSURE THAT ALL APPLICATIONS, STATEMENTS, OR ANY OTHER REPRES
MONETARY FINE
LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC")
CENSURE AND JOINT AND SEVERAL FINE OF $10,000 WITH JANSSEN-MEYERS ASSOCIATES, LP
FINED 12,500 JOINTLY AND SEVERALLY
CENSURED AND FINED $60,000; SUSPENDED FROM SUPERVISORY CAPACITY FOR 3 YEARS.
SUSPENDED FOR ONE DAY
MONETARY FINE OF $5,000
OF SECURITIES
AND FINED
FINED & SUSPENDED GP LICENSE FOR TWO YEARS
FINE
FINE: 500.00
REPRIMAND
CONSENT ORDER - CIVIL PENALTY AND ADMINISTRATIVR FEE OF $2700.
STIPULATION $500.00 MONETARY PENALTY
SETTLEMENT ORDER - $500.00
SETTLMENT ORDER - $300.00
LETTER AGREEMENT - $1800.00
FINE $5,000.00
SMALL FINE
FINE OF $5000
FINE AND CENSURE
$250.00 TO REIMBURSE COST. 1 YEAR PROBATION
SETTLEMENT ORDER
CURRENTLY UNDER NEGOTIATION, STATE OF NY PROPOSED $500
ADMINISTRATIVE FINE OF $2500.00
PLACED ON PROBATION PURSUANT TO SECTION 626.691, FLORIDA STATUES, FOR A PERIOD OF
ONE(1) YEAR.
INVESTIGATION
CONSENT ORDER OF WITHDRAWAL
MONETARY FINE OF $7500.
FINES
MISREPRESENTATION TERMS OF A POLICY.
PROHIBITION
MONETARY FINE
MONETARY/FINE
ADMINISTRATIVE
FINED $15,000 JOINT AND SEVERALLY WITH HENNION & WALSH AND SUSPENDED FROM SUPERVISION 10 DAYS
CIVIL AND ADMINISTRATIVE PENALTY
IN ADDITION TO A FINE OF UP TO $50,000
SETTLEMENT OF INFORMAL INQUIRY REGARDING PRIVATE FUNDS - SEE ITEM 12(A) AND 13 BELOW
PREJUDGEMENT INTEREST IN THE AMOUNT OF $1.00 AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $200,000.00. SUSPE
FINED $200,000.00
$5,000.00 FINE
1. FINE OF $17,500; AND,
2. REQUALIFICATION BY EXAMINATION (SERIES 7).
MONETARY FINE
$5000.00 FINE, J & S.
ADMINISTRATIVE FINES
THE FIRM FAILED TO MAINTAIN ITS REQUIRED MINIMUM NET CAPITAL REQUIREMENT ON OCTOBER 16, 2007, IN VIOLATION
SUSPENSION
CENSURE AND FINE.
SIX WEEK SUSPENSION AND A FINE OF $100,000.00
CIVIL PENALTY
SPECIAL SUPERVISION
ORDER GRANTING CONDITIONAL AGENT REGISTRATION
RELIEF SOUGHT
SUSPENSION
REQUIREMENT TO RE-TAKE SERIES 24 EXAM.
30 DAY SUSPENSION
$5,000 FINE (NASD)
FINE
CENSURED
NONE
$10,000 FINE AND ONE WEEK SUSPENSION
CONDITIONAL REGISTRATION
$10,000. FINE
$5,000. FINE
VIOLATION OF ARTICLE III SEC I OF THE RULES OF FAIR PRACTIVE
LETTER OF ACCEPTANCE, WAIVER AND CONSENT; PENALTY OF $2,500 INDIVIDUALLY.
CENSURE AND FINE.
FINE
CENSURE
PREJUDGMENT INTEREST IN THE AMOUNT OF $1.00 AND A CIVIL MONEY PENALTY IN THE AMOUNT OF $50,000.00. SUSPENS
$15,000.00 PENALTY
SUSPENSION
RELIEF SOUGHT
STIPULATION
BAR
FINE OF $35,000, JOINT AND SERVERAL WITH FIRM
FINE
$250.00 FINE
FINE $5,000.00
ACCEPTANCE, WAIVER AND CONSENT FINE
ADMINISTRATIVE PROCEEDING.
CIVIL MONEY PENALTY OF $15,000. BARRED FROM ASSOCIATION IN A SUPERVISORY CAPACITY, WITH A RIGHT TO REAPPLY F
FINED $150 MAY 29, 1991
RESTRICTIONS REMOVED 10/16/2006
NONE
NO SANCTION ; NEGOTIATED CONSENT ORDER GRANTING CONDITIONAL REGISTRATION
CONSENT ORDER IMPOSING $500 ADMINISTRATIVE PENALITY.
NO SANCTION. NEGOTIATED ORDER GRANTING CONDIONAL REGISTRATION.
REPRIMAND
FINE - REQUALIFICATION BY EXAM
PROHIBITED FROM WORKING WITH WILL COUNTY CREDIT UNIONS (2)
FOR A SIX MONTH PERIOD, THE EMPLOYING FIRM MUST SUBMIT ALL SALES LITERATURE AND ADVERTISEMENTS AT LEAST TE
NOTICE OF INTENTION TO FILE COMPLAINT
"LETTER OF CAUTION"
FINE, PAYMENT OF EXPENSES OF INVESTIGATION, PROHIBITION AGAINST MAKING CERTAIN TYPES OF INVESTMENT RECOMM
OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING GUILT AND A $2,000 FINE.
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
$5,000 FINE AND 10 DAY SUSPENSION
REQUALIFICATION AS A GENERAL SECURITIES PRINCIPAL
CONSENT ORDER AGAINST ENGLER-BUDD AND COMPANY, INC.
NASD FOUND ME TO HAVE TAKEN DISCRETION IN A CLIENTS ACCOUNT WITHOUT FIRST OBTAINING WRITTEN PERMISSION TO
FINED $200,000.00
AWC INCLUDED A CENSURE AND MONETARY FINE OF $15,000, JOINTLY AND SEVERALLY BETWEEN APPLICANT AND APS FINA
FINE OF $10,000
SUSPENSION
FINE AND PROBATION
FINE - $1,000
FINE
FINED $20,000.00
LETTER OF APOLOGY, FINE AND UNDERTAKING NOT TO VIOLATE THE ACT IN THE FUTURE.
LETTER OF ACCEPTANCE, WAIVER AND CONSENT
MR. ACKERMAN WAS FINED AND SUSPENDED FROM ACTING AS FIRMS DIRECTOR OF COMPLIANCE FOR 1 YEAR, FOR VIOLATI
REQUALIFICATION
THE STATEMENT OF CHARGES DOES NOT SPECIFY THE RELIEF BEING SOUGHT.
$7500 FINE, JOINT AND SEVERAL, AGAINST VERMITSKY AND SAMUEL A. RAMIREZ & CO., INC.
NO SANCTION. OREDER OF DENIAL VACATED.
ORDER OF DENIAL RESCINDED
MONETARY FINE
CONDITIONAL INSURANCE LICENSE ISSUED
SUSPENSION
$15,000.00 FINE
FINE
$100.00 FINE.
FINE OF $1,500.00 AND DISGORGEMENT OF $502.50
REVOKED REGISTRATION
DISGORGEMENT OF COMMISSIONS
NO OTHER SANCTIONS
UNDERTAKING TO PREVENT SIMILAR VIOLATIONS
OF SECURITIES
ADMINISTRATIVE
WITHDREW LICENSE FROM STATE OF OHIO.
PENDING REGULATORY INVESTIGATION
MONETARY FINE
MONETARY FINE OF $5,000 ASSESSED JOINTLY & SEVERALLY BETWEEN THE FIRM, [OTHER FIRM EMPLOYEE], AND MR. NEEL.
SUSPENSION, FINE
MONETARY FINE
MONETARY JOINT AND SEVERAL WITH THE FIRM
FINE
SIX MONTH SUSPENSION OF INSURANCE LICENSE.
CONSENT ORDER
NONE
FINE
SURRENDER OF INSURANCE LICENSE
CEASE AND DESIST; CIVIL MONEY PENALTY
FINE OF $1850
SUSPENSION
UNDERTAKING
THE AMEX IS ALSO SEEKING A CENSURE AND HEIGHTENED SUPERVISION FOR MR. FAULKNER.
MONETARY FINE
$31,358 FINE
MONETARY FINE AND CENSURE
ONE MONTH SUPERVISORY SUSPENSION; A FINE OF $3,000 AND A REQIREMENT THAT I COMPLETE AN APPROPRIATE TRAININ
$2500 FINE
FINED
FINE - $25,000, JOINTLY AND SEVERALLY WITH WFG
10 BUSINESS-DAY SUSPENSION OF ROBERT L. SAVAGE FROM ASSOCIATION WITH ANY NASD
MEMBER IN ANY PRINCIPAL CAPACITY.
LEONARD SECURITIES, INC. AND ROBERT L. SAVAGE CONSENT TO PAYMENT OF RESTITUTION PLUS
INTEREST TO CUSTOMERS.
MONETARY FINE
ADMINISTRATIVE FINE 0F $2000.00
MONETARY PENALTY/FINE OF $4,600.00
$5000.00
FINE, JOINT AND SEVERAL, $10,000.
ORDER ENTERED WITH A FINE.
FINE
MONETARY FINE IN THE AMOUNT OF $1500.00 IMPOSED JOINTLY AND SEVERALLY AGAINST DUNCAN-WILLIAMS, INC AND D.
OF SECURITIES
REVOKED
$10,000 FINE PAID TO THE US TREASURY.
WITHDRAWAL OF REGISTRATION FOR 2 YEARS & $1,000.00 FINE
FINE OF $1,000.00
REIMBURSEMENT OF $500 INVESTIGATIVE EXPENSES
$3,500.00 FINE; J&S
SEE BELOW
CONSENT, FOUR MONTH SUSPENSION OF LICENSE, AND SUSPENDED FINE.
FINE
FINE
180 DAYS SUSPENSION IN THE STATE OF TENNESSEE
2,500.00 FINE AND 30 DAYS SUSPENSION
FINED $3000.00
DISGORGEMENT
CENSURE
INTENT TO SUSPEND
ORDER TO DISCONTINUE LIQUIDATION SERVICES AND REIMBURSE $50,000 OF STATE'S INVESTIGATIVE COSTS
FINED $5,000.00
ORDER SUSPENDED REGISTRATION FOR 3 DAYS STARTING 6/24/1982.
$2500 FINE AND I SIGNED CONSENT AGREEMENT 11/19/92 - CENSURE
$6,000 FINE
MONETARY PENALTY/FINE
& FINED
CONDITIONAL BAR AND CEASE AND DESIST
FINE
NONE
TTHE FIRM ENTERED INTO A CONSENT ORDER AND PAID ADMINISTRATIVE FEES OF $500.
LETTER OF ACCEPTANCE, WAIVER AND CONSENT. MEMBER FIRM AND RESPONDENT CENSURED AND FINED $8,500.00 JOINTL
CENSURE; ADMONISHMENT
NO FINE - PLUS 90 DAY SUSPENSION OF ANY ASSOCIATION WITH
ANY MEMBER FIRM. THE SUSPENSION TOOK PLACE FROM 06/05/2000
TO 09/03/2000.
STIPULATION AND FEE OF $500.00
N/A
45 DAY SUSPENSION OF SECURITIES LICENSE FOR VIOLATING CERTAIN STATE LAWS REGARDING CLIENT ENROLLMENT INTO P
FINE $500.
ADMINISTRATIVE PROCEEDING
A JOINT AND SEVERAL FINE ALONG WITH PRESTIGE FINE IN THE AMOUNT OF $5000.
FINE OF $27,500.
FINE AND REQUALIFICATION OF SERIES 24 WITHIN 120 DAYS.
RELIEF SOUGHT
FINE
STIPULATION AND CONSENT ORDER
ORDER DISSOLVED
FINED $25,000 AND SUSPENDED FOR 10 DAYS.
FINE
UNKNOWN
HEIGHTENED SUPERVISION
ORDERED TO HENCEFORTH COMPLY WITH THE VERMONT SECURITIES ACT
FINE
FINE
FINE AND SUSPENSION OF PRINCIPAL LICENSE
ACCEPT & CONSENT OF FINDINGS AND AGREEMENT TO CENSURE & A FINE OF $1500.00.
FOR FAILURE TO SUPERVISE - 1 YEAR SUPERVISORY SUSPENSION
ORDER IMPOSING SPECIAL SUPERVISION FOR A PERIOD OF 12 MONTHS
$50,000 FINE AND $650,000 PAYMENT TO CUSTOMER.
ADMINISTRATIVE FINE IN THE AMOUNT OF $3,000; SUSPENSION FOR 15 DAYS FROM DATE OF FILING OF IAR APPLICATION IN
SUSPENSION
DISGORGEMENT
CENSURE
NONE
CENSURE
SUSPENSION FOR 6 MONTHS FROM ASSOCIATING IN A SUPERVISORY CAPACITY WITH ANY BROKER/DEALER.
CENSURE
CENSURE & MONETARY FINE
CENSURE & MONETARY FINE
CENSURE AND MONETARY FINE
CENSURE
ORDER IMPOSING RESTRICTIONS AS A CONDITION OF REGISTRATION.
FINE
CONSENT AGREEMENT AND ORDER
9 MONTH SUPERVISORY SUSPENSION.
CENSURE,A FINE OF $25,000, AND A REQUIREMENT TO RETAKE AND PASS THE SERIES 9 & 10 EXAMS
PRIOR TO THE END OF THE SUPERVISORY SUSPENSION.
$2,000 FINE
$2,500.00 FINE
FINE $500.
FINE $2500.
CENSURE
FINED $2500 AND COST OF DBCC OF $1066 AND NBCC COSTS OF $1148.76
CENSURED
$500.00 FINE
SANCTIONS/RELIEF SOUGHT.
ORDER IMPOSING HEIGHTENED SUPERVISION AND RESTRICTIONS AS A CONDITION OF REGISTRATION.
FINED $20,000
CEASE AND DESIST
CEASE AND DESIST AND SUSPENSION OF MA SECURITIES REGISTRATION FOR 30 DAYS.
$25,000
A FINE OF $7,500 AGAINST VISION OF WHICH $5,000 IS JOINT AND SEVERAL WITH DAN GALLAGHER.
##################################################################################
NONE
SUSPENSION AND REVOCATION OF REGISTRATION
CENSURE
JOINT AND SEVERAL FINE WITH WUNDERLICH SECURITIES IN THE AMOUNT OF $30,000, SUSPENSION ACTING IN A PRINCIPAL
MONETARY FINE.
FINE AND RESTITUTION
AGREE NOT TO RE-APPLY FOR REGISTRATION IN THE STATE OF ILLINOIS FOR A THREE YEAR PERIOD.
DISGORGE FULLY ANY AND ALL ILL-GOTTEN GAINS AND/OR MAKE FULL AND COMPLETE RESTITUTION, WITH INTEREST
FINE
FINE NOTED ABOVE IS A PROPOSED MONETARY FINE IN THE AMOUNT OF $10,000. IN ADDITION, THERE IS A PROPOSED 15 B
ADMINISTRATIVE CONSENT AGREEMENT AND SETTLEMENT ORDER
OF SECURITIES
SUSPENSION OF 20 DAYS TO BE FOLLOWED BY REQUALIFICATION AS A SERIES 24 PRINCIPAL WITHIN 3 MONTHS OF WHEN AW
VIOLATION OF NASD RULES 1021(A), 1022(A) AND 2110
OF SECURITIES
FINE
WILL NOT REAPPLY FOR 8 YEARS-
60 DAY SUSPENSION STARTING ON 07/17 ENDING 09/14/06
THE RR EXECUTED A CONSENT ORDER OF WITHDRAWAL WITH THE STATE OF ILLINOIS AND AGREED TO WITHDRAW HIS REGI
ADMINISTRATIVE PENALTY
QUARTERLY REPROTS TO TEXAS DEPT INS
CLASS ROOM CONTINUING ED
RESTITUTION
FAILED TO DISCLOSE ADMINISTRATIVE ACTION TAKEN BY THE STATE OF TEXAS IN APPLICATION FOR A COLORADO INSURANC
SUSPENSION IN ALL PRINCIPAL CAPACITIES FOR THIRTY DAYS.
60 DAY SUSPENSION
RESTRICTION AGAINST REAPPLYING FOR REGISTRATION WITHIN TWO YEARS. I AM NOT REQUIRED TO BE REGISTERED IN ILLI
SCOTT SHERIDAN WAS FINED AND ORDERED TO PAY DISGORGEMENT
SUPERVISION
ORDER IMPOSING UNDERTAKINGS IN CONNECTION WITH REGISTRATION UNDER THE VERMONT SECURITIES ACT AND CONSE
MONETARY SANCTION OF $30,000.
ONE MONTH BAR FROM MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS AND FROM EMPLOYMENT OR ASS
FINE
FINE
REVOCATION OF CPA LICENSE #53980
A $2,500 FINE, WHICH WAS APPORTIONED JOINTLY AND SEVERALLY TO SKLAR AND THE FIRM (EGS SECURITIES).
FINE, SUSPENSION/REVOCATION.
ACCEPTANCE, WAIVER AND CONSENT
PUBLIC HEARING TO BE HELD TO DETERMINE WHETHER AN ORDER SHALL BE ENTERED INTO REVOKING RESPONDENT'S REGIS
$2,000 FINE
ORDER OF ISSUANCE OF PROBATIONARY LICENSE
NOTICE OF HEARING
CONSENT ORDER IMPOSING ADMINSTRATIVE FINE
FINE
RELIEF SOUGHT
2 YEARS OF HEIGHTENED SUPERVISION
PRINCIPAL ACTIVITIES SUSPENDED FOR 2 MONTHS.
RESTITUTION, COSTS
CONSENT ORDER
FINE.
HEIGHTENED SUPERVISION FOR SOLICITED MUTUAL FUND SALES FOR 12 MONTHS.
$5000.00 FINE, 3 MONTHS SUSPENSION
$1250 JOINT AND SEVERAL FINE FOR VIOLATION OF CBOE RULES 6.2 AND 6.51
FINE (JOINTLY AND SEVERALLY WITH THE FIRM)
$5100 FINE
NONE
FINE OF C$40,000.00 & SUSPENSION FROM TRADING FOR 45 DAYS
ADMINISTRATION PENALTY, CENSURE & SUSPENSION
MONETARY FINE: $20,000 JOINT AND SEVERAL AGAINST T.J. RANEY AND SONS, INC. AND IAN C. MALONE
THE MISSOURI DEPARTMENT OF INSURANCE SUSPENDED THE REPS INSURANCE LICENSE.
SUSPENSION
NONE
FINED $25,000 AND REQUIRED TO COMPLETE A COMPLIANCE COURSE REGARDING FINANCIAL AND OR OPERATIONAL RULES
PROPOSED CONSENT ORDER AND ADMINISTRATIVE ASSESSMENT
##################################################################################
$75,000.00
LETTER OF ACCEPTANCE, WAIVER AND CONSENT PLUS $5,000 FINE
GRANTING OF OTHER RELIEF AS MAY BE AUTHORIZED UNDER SECTION11.E(4) OF THE ACT.
$20,000 FINE AND 60-DAY SUSPENSION IN PRINCIPAL CAPACITY
$10,000 FINE
6 MO PROBATION; CEASE AND DESIST FROM REBATING IN INSURANCE SALES
S/D
FINE AND SUSPENSION
FINED AND CENSURE
CENSURE, COSTS, UNDERTAKING
WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, REP ENTERED INTO CONSENT AGREEMENT AND CONTRIBUTE
REQUIRED TO ATTEND REGULATORY ELEMENTS 101 AND 106 EDUCATION. REQUIRED TO MAKE CONTRIBUTION TO THE INVE
SUCH OTHER RELIEF AS MAY BE AUTHORIZED UNDER SECTION 11.F OF THE IL SECURITIES LAW OF 1953 AND/OR OTHER APPL
CONSENT ORDER APPROVING REGISTRATION UPON CONDITIONS ("ORDER")
UNDERTAKINGS & REPRESENTATION & CONSENT TO ENTRY OF ORDER("UNDERTAKING")
TEMPORARY SUSPENSION TO PRACTICE LAW PENDING COMPLETION OF CLE REQUIREMENTS - REINSTATED UPON COMPLETI
CENSURE
A FINE OF $15,000 PAYABLE JOINT AND SEVERALLY WITH ARVEST.
N/A
ADMINISTRATIVE ACTION AND A FINE OF $250.
ADMINISTRATIVE SUSPENSION
WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, REP ENTERTED INTO CONSENT AGREEMENT AND CONTRIBUT
ADMINISTRATIVE FINE OF $500
$100 FINE ; $100 ADMINISTRATIVE COST
60 DAY SUSPENSION STARTS ON 07/17/THROUGHT 09/14/2006.
ADMINISTRATIVE FINE & REGISTRATION AGREEMENT
CEASE AND DESIST FUTHER VIOLATIONS; REGISTRATION AGREEMENT WITH MORGAN STANLEY & CO. INCORPORATED
ADMINISTRATIVE FINE: $3000
FINE: $9000
31 CALENDAR DAY SUSPENSION AND $5,000 MONETARY FINE
RESTITUTION; FINES
HEIGHTENED SUPERVISION
FAILURE TO REPORT/COMPLETE PROFESSIONAL EDUCATION REQUIREMENTS
CENSURE
$200 JOINTLY AND SEVERALLY TO PAY LEGAL AND INVESTIGATIVE COSTS INCURRED.
SUMMARY ORDER OF PROHIBITION
ORDER TO SHOW CAUSE WHY REGISTRATION SHOULD NOT BE REVOKED
MONETARY FINE AND BAR.
MY PROPERTY AND CASUALTY INSURANCE LICENSE WITH THE STATE OF NORTH CAROLINA WAS TEMPORARILY PLACED ON H
ADMINISTRATIVE FINE AND PROBATION
MONETARY FINE
PROBATION
TEMPORARY SUSPENSION
dtInit caseNb
4/3/1997 C05970009
2/18/1983 CLE-248
4/21/1991 91-60
1/1/1989 90-0021
10/31/1996 CO5960093
7/3/2002 FILE NO. 3-11538
9/29/1994
10/21/1994 E05940222
3/27/1995 C05950002
8/26/1992 C8A920061
9/29/1999 SSB DOCKET NO 99-042, ORDER NO CAF-1371
9/17/1998 CASE #SD-98-0032
12/13/2001 C06010043
10/29/2002 SSB DOCKET NO.02-37, CAF-1482
1/29/1999 97-3312/98E162
5/25/1979 78-55
6/30/1992 1606-5-12/91
4/28/1989 683-AWC
4/9/1991 CO592001
4/26/2000 35604-00-AG
4/13/1990 UNKNOWN
12/21/2000 EXAM NO EO5990414
2/26/2004
7/18/2003 C9B030048
7/28/2003 C9B030050
6/13/2005 CO4O5OO24
10/28/1991 91-0192
12/15/1987 SD-753
9/17/1998 C10980074
9/5/1989 87-0138(A)
12/13/1991 91-186
12/1/1987 784-S-10-87 AND 793-S-11/87
1/12/1995 C06940049
9/15/1968
5/8/2000 C10000069
12/27/1989
11/27/1990 NY-9062-AWC
10/14/1991 91.250.DOS
3/2/2000 AWC C3A000005
7/29/1988 CHI-1014-AWC
1/8/1990 12.06-A90-0018J
3/20/1992 HPD-90-153
5/9/1995 N/A
11/27/1990 NY - 9063 - AWC
8/14/2006 E3A2005004701
9/28/2007 3-12860
9/16/1993 C3A930038
2/7/1997
3/29/1990 NEW-743-AWC
10/9/2000 C05000061
12/27/1989 Unknown
6/29/1994 C3A940023
3/19/2009 09-AB-CC00075
12/29/1995 C02950046
2/1/1995 C02970046
1/31/1985
8/13/1984 NEW 410 AWC
12/22/2000 SSB DKT 00-030; CAF-1411
8/1/2007 UNKNOWN
8/30/2007 2007-10207-INS
9/17/2007 INS-2007-00283
4/23/2008 UNKNOWN
4/24/2008 UNKNOWN
7/17/1998 98191
6/19/1987 REP DOES NOT HAVE.
8/1/1997 E04970248
7/18/2003 C10030062
10/29/2008 2007007232201
10/21/1986 50-86-9559C
6/1/2001 C10020069
10/1/2002 C06040021
1/12/1988 TEX-542-AWC
3/28/1985 SR 85-018
6/29/1994 OD-94-0038
1/1/2005 P-2005-485JB
12/1/1993 C05930101
5/24/2007 ORDER NO. 07-150
1/1/2000 INS 000292
10/18/2002 FILE CSB - 256549
10/12/1992 C3B920035
11/21/1990 E-90-150
9/24/1991 C07910109
1/10/1996 96.001376
2/21/1992 4903-A692-123
12/16/1985 NEW-463-AWC
10/12/1984 NEW-423-SC
3/29/1990 NEW-751
8/1/2000 C06000014
10/12/2006 CASE NO. 81582-06-AG
3/20/2001 01-0190SC
6/23/1994 94-004-S
1/19/1988 DEN-678-AWC
4/5/1989 NEW-680-AWC
12/5/2000 E3B980188
7/16/2001 FILE NO: 0100223
3/1/2003 925-1926
1/19/1995 C029400062
1/15/1992 CM5920002
11/2/1990 NEW-779-AWC
11/7/1990 91E030/91-1813
11/18/1998 C3A980062
11/6/1995 C05950058
3/5/1991 NEW-796-AWC (C05910007)
5/31/1989 SEA-501
11/4/1996 9600652
12/27/2004 C3A040046
6/3/1999 C02990044
5/8/2006 HPD#06-67
4/12/1990 SEC900040
7/5/1995 153546
11/17/1999 FILE NO. S-99263(LX)
A0-99
6/5/2003 SSB KDT NO 03-26; ORDER NO CEN-1517
12/4/2006 06-4279
5/25/2007 EXAM NO. E062005013501
1/30/1991 NEW-810-AWC
8/30/1983 CD-83-32
6/6/1991 BD-6063
5/15/1986 89259
6/16/1995 FILE # 3-8724
2/19/2004 C9B040013
7/21/2005 E9B02004201
8/13/2002 EXAMINATION # E9B010089
5/23/1985 X-2088(L)
5/28/1997 ADMIN. PROC. FILE NO. 3-9317
7/8/1991 91E017
5/21/2002 SIU 3587
11/24/1997 C04970028
8/25/1997 9700584
8/27/1999 E8A970938
3/24/1992 C07910126
10/20/1986 #NEW-516-AWC
10/20/1986 NEW-516-AWC
9/22/2006 3-12427
11/7/2003 ADMIN PROC. FILE NO. 3-11793
9/24/2004 HPD #:04-155
8/13/2002 CAFO20030
9/1/1989 CH1-1205
4/25/1988 88-3137
12/8/1986 BOS-570
7/30/1987 KC-390
7/30/1993 94-46
8/10/1992 C06920022
4/6/2006 INVESTIGATION NO. 20050002644
12/12/2008 2007007792902
4/27/1993 C06930018
1/31/2007 ADM. PROCEEDING 3-12554
2/17/1995 95-043
1/11/1999
8/24/2004 CAF040067
1/12/2006 0500697/0600004
2/11/1992 908-G-1
11/18/1996 C05960094
8/22/1995 C05950030
5/5/2003 C9A030014
8/4/2000 ATTORNEY REGISTRATION NO. 07771
5/2/1991 S-2430-1
5/15/1992 1647-S-2/92
8/7/1992 9200145
11/16/1990 C01900025 ( SF-1376)
8/19/1999 C01990016
10/19/2001 C01010016
4/23/2007 070510075
8/6/2008 20070112884
6/11/1987 NEW-614-AWC
11/2/2005 E062003043402
3/24/1988 TEX-580-AWC
1/25/1993 C06920055
1/30/2004 S-03-026-04-AC01
1/16/1991
11/25/2003 DECISION 04-63
7/25/1991 C04910024
1/31/1989 NY-6099-AWC
9/27/2000 REL 34-43350; FILE NO. 3-10304
7/26/2006
6/26/1991 BD 9078
2/4/1994 SN 3113
7/5/1995 C8A950037
8/31/1988 871-&-4/88
8/3/1993 C9B930013
7/14/1998 98223
8/27/2001 SEC10097
3/27/2003 2003-0159
10/25/1988 CHI-1041-AWC
12/5/2003 C04030063
3/26/1999 C04990042
3/31/1993 C01930013
11/11/1976
4/27/1981 81-9 81-000-16
6/3/2005 05-0014
1/23/2006 S-05-220-06-CO01
1/7/1999 C10980135
10/9/1996 C05960053
8/24/2000 C-02000054
10/24/2007 2005001198802
6/19/2008 06-126
1/17/1992 C10910185
11/6/1996 C8A960064
3/23/2000 00-0008
4/17/2003 N/A
10/7/1982 CD-676
8/20/1998 CAF-1291
5/1/1989 90-D-17
12/22/1994 C10940063
7/21/1995 C05960072
7/30/2002 R-02-55
5/5/1992 908-N-1
7/29/1991 C05910069
8/20/1990 OSC - 89 - 145
12/1/1987
12/27/1989
1/30/1995 95E049/95-2789
8/7/1996 C04960017
2/29/1988 NEW-587-AWC
6/13/1994 1992-S-1/94
6/18/1991 91.169.DOS
1/23/1990 COMPLAINT #ATL-1162
1/17/1995 JDS 3042-16097
3/25/2009 2007011550101
10/23/1992 1549-5-8/91
6/1/1993 C05930069
7/24/1992 E-91-182
5/1/2000 C8A000061
12/19/1988 50-88-9725
10/6/1986 50-86-9559D
12/15/1989 8906-23
7/15/1988 88.113.DOS
12/16/1994 C3A940060
9/17/1990 C9B900011 (WA-700)
4/8/1990 N/A
9/1/1998 C05980036
4/1/1991 91-146
3/18/1993 91-036
7/7/1992 C10920028
7/3/2002 C9B020043
4/23/2002 E9B010100
10/28/1991 90-D-05
3/18/1991 90-D-5
1/20/1997 C02970038
2/2/2000 3-10136
8/18/1994 HPD 94-90
8/16/2004 C06040026
2/7/2005 0400669
11/20/2000 CASE NO. C06000030
7/26/1994 AO-94-20
4/14/1994 94E057/94-2661
8/2/1988 NEW-615
1/12/1995 C8A940063
12/17/1998 C8A980089
9/24/2004 HPD#: 04-156
11/17/2003 ADMIN PROC. FILE NO. 3-11675
5/3/2004 C9B040036
2/14/2006 E9A2003016102
3/14/2008 E072003019507
4/1/2002 HPD#:02-104
3/30/1992 C10920032
9/6/1989 NEW-684-AWC
9/20/1990 90.562.DOS
1/8/1990 89000734
12/11/1998 C10980133
5/26/2000 C10000084
5/15/1985 85-15-DOS
8/2/1985 LA-1116-AWC
5/17/2007 OREDER # 07-130
12/29/2006 3-12520
1/5/2000 99-0360 SC
7/31/1997
5/16/1995 C10950027
11/13/2001 CAF010028
2/15/1990 89-0100
5/1/1995 C0-95-0016
8/7/1996 HPD 97-45
4/17/1984 NONE
3/1/1999 AWC C10990193
4/25/1997 C8B970005
2/11/1988 CHI-1007
9/24/1991 91-114
6/22/1990 NEW-753-AWC
8/22/1991 92-0030
1/8/2002 E9B010118
7/1/1998
9/7/2001 EAF000091
9/16/1998 CAF-1317
1/29/1994 9401-01LC
2/16/1996 CEN-1177
9/28/1994 C02940037
5/25/1995 C11950019
2/21/2002 FILE NO. 3-10708/RELEASE NO. 34-45465
9/28/2005 05-0042 CA
4/12/1983 83-L-79CG
3/20/1991 2184 A-1
7/28/1992 C8B920020
12/8/1993 92-0097
3/13/1990 NEW-739
5/27/2004 FILE NO. LBB 1816-AP
11/10/2001 MIA-622-11/01
7/3/2003 DOCKET NO. INS 03-423
6/22/2005 SEC-2005-00032
6/22/2005 INS NO 05-019-EP
8/26/2005 R-2005-188
10/3/2005 SIU NO. 4585
9/29/1989 89-191
9/19/1994 1994-7-6+6
2/19/2009 IC09-SUS-03
9/28/1993 C3B930021
10/25/1990 SEU-89-80
4/1/1990
8/13/1993 07930021-AWC
9/13/2001 C06010025
11/4/1999 SN6811
12/19/2005 2007-0358-S
1/23/2009 SEC-2009-00021
5/4/1998 CAF980020
10/30/1991 91.240.DOS
5/9/1988 NEW-604
9/5/1985
5/19/1998 C8B980012
12/29/1994 C04940045
3/6/1995 C04950003
4/4/2003 CAF030015
12/14/1990 92-81
6/6/2008 S-08-46-08-CO 01
8/2/2005 E052004006001
11/10/1987 LA-4150
2/9/1993 A-93-0010
2/10/1998 INV98-003
10/12/2006 AP-06-34
11/30/1988 CHI-1059
7/18/1991 12.06-A-87-0561J
2/10/1994 SUS-982
11/16/1990 9000118
9/7/1999 E1099 1605
9/15/1995 CO-95-0054
3/1/2003 UNKNOWN
3/1/2003 UNKNOWN
5/15/1991 9000247
9/25/1995 C07950059
6/8/1988 E-87-175
8/31/2006 S-05-028-06-C001
3/31/1997 C06970007
12/31/1990 DEN-1018-AWC
9/1/1989 UNKNOWN
8/13/2002 CAF020030
10/23/2002 C06030008
11/6/1995 C05950058
9/21/1993 C05930056
9/21/1993 C05930055
1/11/1989 UNKNOWN
2/2/1994 X-94015(L)
12/19/1995 C04950050
4/17/2007 HPD#07-60
3/24/1992 C07910126
12/3/1993 C05930017
1/13/1995 HPD 95-27
1/26/1990 TEX-744
9/30/2004 CAF040073
1/1/1990
5/22/1985 1-85-6
1/1/1985 Unknown
4/14/1993 92-040-S
9/22/2002 NASD 01-05976
12/14/1992 92-050-S
12/27/1989
8/10/1989
11/14/2003 C8A030086
11/25/2003 C06030034
12/19/1995 SEC950079
5/17/1995 IA-95-1224
4/12/1994 943-J
8/7/1996 HPD 97-58
12/19/2001 C02020005
6/7/1991 91.156.DOS
4/19/1991 1223-S-2/90
10/13/1989
8/13/1997 C10970168
9/4/1998 9800163
3/9/1995 S-95083 (LX)
12/17/1987 PHL-739
10/26/1993 C05930086
4/27/1994 C01940013
7/24/1996 9600029
3/14/1989 89-10-S
3/12/1996 C11960008
11/8/2007 P-2007-80SWR
9/22/1988 889-5-5/88
1/19/1990 NY-8043-AWC
5/17/1990 NY-8043-AWC
2/23/2004 70010320005070083686
8/19/1999
12/4/1992 E-92-182
5/1/1997 R-97-209
8/12/1998 98213
5/15/2006 SEC-2006-00008
11/8/2005 AP-25-44
4/25/2007 CONSENT AGREEMENT #CA-2007-00
12/18/2006 3-12509
7/15/2003
1/21/2009 2007007150401
7/19/2004 C9B040074
9/2/1999 C9B990039
9/12/2008 E9B2005014202
5/29/2007 FILE NO. 07-0047
11/6/1995 C05950058
8/27/2002 0300690
2/12/1999
3/6/1991 90-0078
4/28/1993 93E023/93-2386
6/21/2001 C10010106
9/1/1989
2/14/1994 3R-93-108
5/3/1995
9/21/1992 C10920101
4/18/2008 CASE # 861718
4/1/1994 94 INV 13
11/14/1998 98-0009 OP
4/28/1998 98087
7/15/1991 C05910053
9/6/1989 NEW-684-AWC
3/19/2004 C10040023
10/25/1996 CMS960235
3/6/2008 CASE #835340
8/31/1990 HPD 90-69
1/3/2008 2006007370401
6/26/1996 C07960040
11/1/2004
9/21/1993 C06930048
5/13/1992 C07920015
1/3/2000 C07990081
11/18/1999 SD -99-0026
10/23/1997 CMS 970060 AWC
8/30/1993 C05930079
4/8/2002 325153.1
3/18/2003 03-012
6/30/1995 95-0037 CD
7/20/1998 C04980021
8/15/2000 C3A020042
7/1/1993 C05930027
7/12/1996 C07960042
7/13/2003 ADMINISTRATIVE PROCEEDING #: 3557-S-1/03
10/3/1990 90-BCC-025
3/1/1995 CD-95-0012
1/20/1997 C05960086
12/27/1989
6/8/1992 CO5920016
8/1/1993 95-INV-1C
6/13/2007 E062004021301
6/5/2005
4/29/1992 C05920076
12/27/1989 UNKNOWN
3/30/1999 C-1098
12/27/1989 UNKNOWN
6/30/1992 92-532-040
10/2/2007 AP-08-30
12/6/1994 CMS940122
12/28/1995 95.270.DOS
5/6/1996 96-0014-OP
7/17/2008 IC08-SUS-06
3/7/1990 90-ECC4
5/24/1994 X-94026(L)
9/23/2005
12/27/1989
1/1/1996
11/21/2005 E3A20040340-01
8/8/2000 0008-08
5/19/1989 UNKNOWN
1/15/1992 92.018.DOS
7/1/1992 UNKNOWN
5/5/2005 UNKNOWN
6/14/2004 CAF040045
5/1/1996 L-96-123L
6/9/1999
1/10/1997 3518
5/18/1990 NEW-769
3/10/1994 C10930079
11/9/2000 UNKNOWN
12/27/1989 Unknown
2/5/1999 1999-007546
5/1/2008 07-099
1/13/1994 C94-10-153
1/9/2008 2008-0228-S
8/13/1997 C10970168
5/4/2005
4/5/2004 HPD-04-186
3/17/2009 09-AB-CC00075
6/3/1994 C05950008
3/4/1998 98-068
9/12/1997 C04970043
12/3/1990
8/10/1989 Unknown
7/5/1994 23549
4/27/2007 07-086
11/21/2003 CAF030062
1/2/2006 0400527
10/12/2006 E022004062801
6/17/1991
7/15/1997 BCC 97-002
4/5/2007 E062004007801
10/25/1996 CMS960235
7/8/1996 2265B-12/95
8/9/1995 95-0011
12/30/1994 9402-01LC
8/18/1992 C05920070
8/31/1987 UNKNOWN
3/7/1985 S-2220-I
4/14/1993 C8A930010
12/8/2003 CLI030028
6/20/2005 02-00661
9/22/2005 CSB-397704
5/15/1995 95-0029
3/27/2003 CO4030014
3/1/1996 OS9412063
11/6/1996 C8A960064
6/2/2000 C8A000044
2/3/1992 NONE
9/24/2004 S-03001 (LX)
12/15/1995 C05950071
7/8/1997 C10970085
6/23/2006 2005002185901
11/16/2007 2006003702101
5/31/2007 CAUSE NO. 07-0077 CA
2/1/1986 UNKNOWN
5/22/2003 CAF030032
3/16/1993 IN 9205631
3/23/1993 C06920034
8/12/1993 93-93-116-80
12/6/1996 50-95-0050(AI)
10/15/2001 C06030027
8/26/1998 CAF/SUS-1294
5/13/1993 93-0016 CA
7/22/1996 96-0191 CA
4/24/2001 C10010004
6/16/2003 C9B030041
8/22/2007 CASE # 89790-07-AG
9/9/1998 C10980048
9/15/1992 C05920089
1/21/1994 1942-S-9/93
1/27/2000 2000-99-038
4/18/1997 94-0042 SC
6/28/2005 AP-05-26
8/5/1992 SSO/SUS-955
11/3/1992 C8A920072
10/14/2005
4/10/2007 20006005676601
5/14/2003 C05030027
5/2/1991 S-2430-1
12/18/1997 97-0059
9/29/1989 WA-634
3/12/1993 HPD 92-193
4/12/1993 93-020
9/5/2003 NASD CASE CAF030047
11/23/1982 TEX-316-AWC
10/12/1998 CAF-1313
3/3/2004 ICO4-FIN-04
7/15/1991 C05910053
6/12/2002 SD-02-0077
9/23/2002 61307-02-AG
12/28/1998 3-9796
3/3/2008 20060037540-01
1/8/2002 03-L-03
12/24/1981 81-0109
2/19/1992 BD0011
1/29/1990 CHI-1229-AWC
4/27/2007 HDB# 07-136
2/11/2008 0700481
11/29/1983 50-83-8060(A)
1/1/1981
10/12/1990 ATL-1200-AWC
12/12/2001 3-10651
11/20/1995 C05650016
1/24/1979
9/21/1993 C05930039
7/15/1994 Unknown
3/8/1994 C05930076
8/25/1981 A-485
8/11/1982 NEW-335
2/29/1988 NEW-580-AWC
11/13/1980
8/11/1989 CHI-1201
1/1/1984
8/1/1980 CS-81-7
1/7/1987 TEX-401
7/23/1985 TEX-410
10/23/1989 90-76
8/28/1989 NEW-752-AWC
10/6/1983 ATL-719-AWC
11/7/2006
1/30/1984 NEW-389
6/17/1983 83-MISC-8
5/23/1986 AO-86-47
1/14/2005 S-04157
12/27/1989 NONE
4/25/2005 05-112
6/16/2004 04-904
8/31/1994 1994-7-26
4/5/1989 NEW-680-AWC AMENDED
3/17/1997 CEN-1169
3/16/1989 1206-A-89-0289J
4/13/1987 NEW-547-AWC
7/8/1987 DEN-709
4/30/1981 AWC-31
2/27/2003 01-02
6/24/2004 0400086
5/19/1997 2209-SO
8/19/1996 A-1262
10/17/2005 CASE NO. 05-C29760
3/9/2004 0300926
2/15/2007 EAF0401050001
5/16/2002 0100447
6/20/2001 C10010080
7/1/1989 90-64
1/24/1985 C85-01-138
5/29/1985 E-85-13
2/16/1993 93-D-01
6/24/1987 KC-388
10/13/1982 AO-82-23
11/5/1982
4/21/1989 HPD-90-26
5/7/1986 FDIC-86-104K
12/17/1991 C06910050
7/7/1999 C9A990034
3/28/2000 9900398
6/24/2008 08-0074CD
6/2/1994 C8A940021
12/12/1994 X-93005 (L)
7/9/1993 CO5940007
9/19/1995 C11950038
9/19/1995 C11950038
8/16/1994 CMS 950079
10/27/1995 50-95-0235
8/11/1988 CV-88-283
2/7/1989 89E039
1/27/1981 N-298
9/29/1989 CHI-1170-AWC
3/2/2005 HEARING PANEL DECISION 05-051
8/8/2002 HPD# 02-186
1/31/2003
3/24/2003 0201062
5/20/2004 E9B030310/C9B040053
10/16/1990 PHL-913
9/29/1992 C8A920075
5/23/1994 C1094 0007
7/11/2007 EAF0400940001
8/29/1986 CLE-290
11/16/1990 90.695.DOS
1/11/1990 89-0136
2/10/2004 NASD AWC C9B040009
1/31/1990 UNKNOWN
3/16/1979 B-417
1/1/1982 K-237
9/30/1993 C8A930062
2/12/1991 C04900012(KC-495-AWC)
3/9/1994 C04930068
5/22/2003 CAF030031
5/8/2008 E062003014601
4/13/1993 C05930070
5/5/2005 CASE NO. E052004004203
7/6/2006 FILE NO. 0500466
11/1/1982 Unknown
4/30/1981
5/15/1984 TEX-371
6/16/1980
2/21/1985 86-D-4
5/14/1996 95E053/93-2501
9/9/1983 NEW-364-AWC
2/5/1996 2275-S-12/95
9/21/1993 C05930049
9/8/1995 FILE #95-46-5
11/6/1995 FILE #059500600
5/9/1991 C07900070( ATL-1266-AWC )
12/31/1990 ATL-1229-AWC
11/29/1979 X-1367(L)
5/27/1997 FIN-1180
5/2/1990 KC-482
3/30/1979 UNKNOWN
11/14/1983 NEW-364-AWC
10/2/1991 C01910036
6/19/1998 C02980026
3/12/1999 99-099
4/28/1989 NEW-684-AWC
1/11/1999 C8A980098
3/13/1996 SEC960015
3/28/1984 Unknown
2/9/1988
11/30/2005 E06200412101
8/8/2007 2006003681201
2/14/1985 Unknown
5/3/1996 C01-31-95-06
11/1/1999 C05990059
1/31/1989 NY-7000-AWC
4/26/1995 C05950014
5/12/1986 85-89
3/17/2009 09-AB-CC00075
8/13/1983 SV-56649-02
7/4/1987 US DISTRICT COURT EAST TENN 3-87-498
9/1/1995 C11960001
12/23/1985 NY-3048
12/22/1987 87-0119
3/17/1987
9/26/1995 C05950058
11/13/1991 Unknown
3/13/1995 HPD 95-63
12/27/1989
2/22/2000 CASE NO. C05000007
3/5/2000 REL 34-43352 FILE #3-10304
10/17/1989 WA-650-AWC
1/24/2005 0042-I-7/04
8/31/1984 TEX-375-AWC
10/5/2004 CAF040075
10/26/2005 0400697
8/1/2005
6/23/2005
1/25/2005
11/3/2006
11/7/1988 TEX-631-TWC
4/9/1986 50-86-9529(B)
12/22/1992 C05920099
1/30/1984 NEW-386
5/13/1985 NEW-386
9/18/1996
9/20/1996 C04960026
9/24/1997 CEN-1220
11/16/1995 CO-95-0085
8/18/1995
6/4/1996 A-1271
10/10/1996 1931-SO
4/13/1998 HPD 98-49
6/19/2001 CO-01-6256-S
8/1/1981
10/18/1983 50-83-8013
5/1/1991 9100060
10/1/1986 A0-85-64
7/29/1987 SF-1219
12/19/1985 LA-4027
1/15/1997 N/A
8/13/1997 C10970168
9/4/1998 9800160
12/7/2007 20060039815-01
8/5/1999 C10990120
1/31/1983 NEW-347
3/31/1988 TEX-709-AWC
10/8/1997 A-1313
3/22/2002 CASE FILE #131607
4/4/1994 94-003-S
5/12/1999 99-C25948
1/1/1988
11/7/1994 C04940038
5/15/1984
3/1/1983 OSC 38-0002
9/30/1983 UNKNOWN
10/18/1993 1884-S-4-93
7/24/1992 E-91-182
10/29/1996 C05960095
7/19/1989 HEARING 2669
8/1/1995 C8A950083
3/28/1975 D-369
4/11/1990 HPD 91-53
7/2/1990 ATL-1260-AWC
9/30/1979
5/10/2007 R-2007-35
10/31/1974 NY-1881
10/10/1985 ATL - 835
10/10/1985 ATL- 835
4/14/1997 97-0013
10/26/1994 C04930062
11/23/1990 HPD-90-110
12/18/1987 NEW-585-AWC
10/10/1984 ATL-770
3/31/1999 99-0005
1/1/1983 EI81-10-05B
10/15/1998 99-0015
10/10/1998 00-0008
11/21/1984 84-D-26
1/1/1973 75-35
1/11/1974 AWC-40
4/16/1990 90-D-10
8/9/1989 C05890002
12/1/2005 S-04-233-05-TO01
10/11/2006 FILE #: 41400
12/16/1987 LA-4162
12/28/1990 C02900020/LA4343
10/30/1992 92-D-14
9/16/1991 C06910044
5/19/1982 UNKNOWN
10/10/1989 C05890005
11/21/1989 89-33-S
2/27/1989 NEW-657
3/24/1992 C07910126
7/1/1992 C9A930014-AWC
6/22/1973 RELEASE # 14149
12/8/1989 ATL-1113-AWC
6/16/1999 C8A990046
6/26/2001 C8A010052
6/19/2001 C9B010054
6/5/1996
9/6/1979 K-216
11/29/2007 CASE # P-2003-372JD
10/14/1977 K-201
12/23/1981 81-121
10/1/1998 C05980038
9/30/1999 NASD CASE #C050 00003
5/1/1995 95E062/94-2535
5/11/1990 C4M900003-CHI1282
8/3/1990 C4M900005-CHI-1312
9/25/1979 CHI-643
2/18/1992 C04920012
12/22/1976 Unknown
5/20/1994 C11940056
8/14/1996 C11960043
6/26/1996 C07960053
1/1/1974
6/17/1981 3-6227
9/16/1980 K-233
7/18/1991 C3B910040
7/23/1991 NEW-834-AWC
8/13/1999 2828B-S-6/99
3/21/2003 C07030023-AWC
12/20/1974 Unknown
6/27/1962 N-75
10/10/1962 N-83
12/20/1995 95-71-S
4/6/1988 88.39 DOS
6/11/1984 TEX-363-AWC
11/16/1998 C01980016
4/3/1989 12.06-A-89-0355J
11/1/1996 951007
7/5/1984 BOS-529
9/11/2000 CD-2000-0067
7/24/1987 PHL-632
8/18/1993 C9A930034
11/1/1991
5/24/1985 85 D 13
8/9/1989 NEW-713
8/7/1989 NEW-712
12/28/1988 88-26-S
2/25/1972 N-197
8/7/1986 NEW-497-AWC
8/22/1988 NEW-601-AWC
4/17/1990 NEW-750 AWC
11/1/1991 E-91-182
6/1/1993 C05930069
7/9/1976 AWC-43
1/22/1976 UNKNOWN
7/27/1978 ATL-573
5/1/1981 UNKNOWN
4/27/1976
1/28/1991 9000114
5/1/1988 90-117
12/21/1987 KC-394-AWC
6/29/1984 CH1-761-AWC
9/7/1984 84-0080CA
10/25/2004 03-11692
5/3/1979 AWC-46
2/22/1980 AWC-49
3/20/1980 B-458
3/27/1980 B-463
8/19/1982 BOS-494
6/1/1973 73-70
8/25/1986 NEW-523
3/2/1967 CH1-350
10/1/1969 UNKNOWN
4/17/1974 CH1-486
9/16/1974 CH1-507
4/2/1976 UNKNOWN
12/8/1992 92E028/90-1737
10/19/1984 NEW-403-AWC
6/29/1981 UNKNOWN
5/1/1996 96-0011
7/15/1991 C05910053
7/13/2005 E052004006001
5/13/1981 AWC-59
8/30/1983 NEW-367
1/30/1984 NEW-393-SC
10/27/1981 N-308
11/17/1978 W-348
7/28/1982 WA-401
12/16/1975 W-306
8/28/1995
8/13/1992 92-135
10/5/1992 C04920061
3/24/1992 UNKNOWN
1/11/1990 KC-467
7/12/1993 C8A930046
6/18/2001 C8A0100
7/31/1962
4/28/2000 773704
3/12/1971 SC-TEX-21
7/12/1988 50-88-9619
9/16/1987 12.06-A-87-0641J
7/2/1993 C05930046
11/21/2000
7/25/1980 80-0095 81-0018
6/16/1980 81-0116
2/18/1981 CA 843
11/14/1973 UNKNOWN
5/1/1990 HPD - 90 - 74
8/11/1998 HPD 98-94
3/5/1999
5/1/1978
8/6/2008 STIPULATION NO. 2008-0300-S
8/11/1989 CHI-1201
5/1/1991 9100060
3/9/1994 CO4969929
2/13/1997 C04960029
5/31/1977 P-442
1/11/1990 KC-467/C04890003
2/28/1990
3/27/2001 03-101
11/18/2008 E-2008-0080
3/22/1988
10/12/1976 N-234
4/25/1988 NEW-599-AWC
5/20/1997 C02970018
6/1/1984 X-0123(L)
6/12/1997 C04970017
11/19/1971 NY:SC-378
6/2/1980 UNKNOWN
10/22/1987 87-206
11/4/1992 C05920056
11/13/1993 C05920085
10/7/2004 C10040100
9/17/2007 2006003723101
3/1/1997 50-22619(48)
6/26/1975
5/30/1975 X-718(L)
10/9/2007 SAF200404081
12/7/1994 BSR-94-0010
4/2/1982 C-88986
8/1/1994 50-94-0223
4/15/1981 81-0459 R0
11/2/1977
7/1/1974 CA 492
10/31/1975 CA 570
12/17/1976 CA 602
11/14/2002 65074-02-AG
2/10/1971 P-342
8/24/1982 Unknown
7/28/1989 KC-455
10/28/1997
2/1/1979 79-45-S
10/18/1983
2/1/1981 S-2137-I
10/27/1981 81-99
9/1/1966
6/11/1986 86-3263
7/8/1982
10/31/1995 SC-95-0084
3/20/2001 C04010012
8/19/1981 SC KC-32
4/30/1984 FILE NO 3-6358
4/8/1992 1992-7-25
7/28/1993 C01930026
3/27/1974 AWC-5
7/24/1992 HPD92-89
10/4/1984 X-2088(L)
6/29/1994 UNKNOWN
1/17/1980
9/10/1997 SC-97-0048; OV-97-0048
6/19/1990 ATL-1194-AWC
1/27/1989 ATL-1052
4/10/1995 C05950004
5/14/2002 R-02-44
3/13/1989 NEW-647-AWC
3/27/1980 81-96-S
5/23/1996 96-13
8/11/1973 Unknown
10/29/1984 KC-322
6/30/2000 00-036-5
10/1/1992 92-44-S
5/28/1993 C05930021
8/29/1983 NEW-363
2/2/1982 NEW - 317
9/23/1982 UNKNOWN
1/25/1982 UNKNOWN
1/1/1982 UNKNOWN
7/29/1983 CHI-270-AWC
12/27/1994 CO4940028
4/30/1990 TEX-763
12/28/1982 TEX-364-AWC
4/2/1957 Unknown
2/14/1974 Unknown
1/25/1996 FILE #3-8939 34-36773
6/4/1980 REL NO. 16843-ADMIN PRO. FILE NO. 3-5922
12/31/1986 CD-86-62
12/24/2003 SEC-2003-00079
12/29/1980 CHI-672
2/28/2006 06-072
3/12/1979 CA-733
3/17/1981 AWC-111
9/29/1992 C01920029
1/6/1981 FILE NO. 8-22752
12/23/2003 02-2-6
5/27/1986 NEW-454-AWC
9/23/1977 N-243
1/18/1999 99-002
7/9/2003 SSB DOCKET #03-029/ORDER #CAF/SUS-1520
2/22/1988 87-0090M
2/18/1992 C04910045
5/23/1995 AO-95-05
10/25/1985 KC-333-AWC
6/7/1984 KC-307
10/20/1998 99CVF01-323
10/21/1974 Unknown
8/27/2007 07-308
7/29/1988 CHI-1026-AWC
12/20/1982 X-1896(E)
9/24/1984
3/24/1986 3-6626
5/9/1984 SF-1044
4/30/1985 ATL-780-AWC
6/20/2007 2006003777301
7/24/1987 PHL-632
9/5/1984 PHL-565-AWC
5/29/2003 AWC C8A030063
8/21/1979 AWC-43
10/31/1979 N-283
6/11/1983 6-17-83-7
9/1/1984 Unknown
9/30/1969 Unknown
2/1/1984 88-3
6/24/1986 TEX-415
12/29/1975 AWC-27
12/29/1978 ATL-590
6/27/1988 ATL-961-AWC
11/24/1997 HPD 97-179
8/21/1980 AA SDD 79-001
8/21/1997
2/25/1998 C9B970015
10/31/1979 N-280
10/16/1996 3-9166
12/4/1980 8-18495
9/27/1989 SEC ADMIN PROCEED FILE #3-7263
12/4/1980 8-18495
2/27/1989 NEW 656
1/26/1987 NEW - 515 - AWC
8/31/1983 NEW - 0366
8/15/1979 N-278 (AMENDED)
7/29/2003 03-077-S
11/1/2004 HPD# :04-189
7/20/2005 SB-05-03
4/27/2005
5/20/2005
8/30/2005 493322-56
3/7/2006 06-073
8/10/2005
8/12/2005 2005.6940.0FR
12/5/2005
4/13/2005
5/17/2005
12/21/1992 A-92-0317
6/20/2001 HPD # 01-150
12/1/1988 88-D-20
4/12/2002 02-47
10/4/1996 CEN-1140
1/30/1979 79-7
11/24/1986 NEW-508-AWC
1/6/1992 C05910088
9/3/2008 364576911-000
2/18/1981
10/20/1986 NEW 493 AWC
7/28/1988 NEW-608-AWC
1/1/1976 Unknown
6/1/1983 UNKNOWN
11/1/1983 Unknown
6/1/1983 UNKNOWN
6/1/1983 Unknown
8/1/1980 81-13-S
11/1/1980 S80-40
4/1/1980 C5-81-7
1/1/1989 UNKNOWN
12/20/1999 99-0349-SC
11/27/1990 C04900020 (CHI-1350)
3/31/1980 79-47
7/25/1991 Unknown
82-99
12/22/1977 AWC-52
5/1/1972 UNKNOWN
6/1/1960
8/6/1981 81-67
7/25/1980
6/20/1994 C07940028
12/3/1981
1/11/1990 KC-467
5/31/1978 CA-716
8/17/1988 3-7040
5/15/1995 C05950011
6/6/1991 HRD 91-90
10/1/1970 80-33
11/15/1979 UNKNOWN
1/5/1972 K-141
3/14/1989 WA-599-AWC
11/4/1997 SEC970083
6/15/1978 N-253
10/8/1978 Unknown
10/31/1974 CHI-525
9/6/1996 CMS960084 AWC
10/22/2003 03-0033
7/28/2005 05-059-S
12/8/1988 HPD-90-7
7/9/2008 CD-2008-0021
8/28/1986 SF-1173
9/1/1996 N/A
5/3/1995 8591
8/24/1995 X-94105(L)
9/20/1995 95-1477T
1/1/1994 X-93044
9/13/1996 96-0248 OP
3/6/2007 E-2007-0020
6/3/2008 E062004027401
8/25/2008 0800340
1/21/2005 WAIVER AND CONSENT # CLI050002
4/30/1998 50-95-0050 (BH)
10/15/1997 CAF970002
2/10/1999 9800592
9/8/2004 CAF040069
3/21/2005 0400719
9/16/2004 NASD CASE NO. C9B040088, DISTRICT 9
10/25/1995 C1-31-95-5
1/1/1995 C04950021
7/14/1998 99-01
3/21/2007 NFA CASE NO. 07-REG-005
10/27/1997 97-154
9/5/1996 CEN-1148
1/4/1999 98-0252 OP
2/26/1999 ORDER#-99-085
12/9/2007 HBD: 09-04
3/31/2003 CAF040034
5/28/1998 98156
4/3/2009 2007007406901
7/2/1993 C8B930007
2/15/2003
7/9/2008 CD-2008-0021
1/11/2001 C10010118
11/27/2001 01-312
5/21/2002 020002
4/29/1994 BD 4054
12/14/1994 SA 4032
11/23/2004 AP-04-88
12/22/1994 C3A940066
11/5/1998 AO-98-19
1/13/1997
4/27/2006 2005000127502
11/29/1994 SEU-94-109/SEU-94-056
2/1/2006 2006003762801
9/9/1997 EXCHANGE HEARING PANEL 97-118
11/30/1994 C05940069
8/13/1997 C10970168
8/20/2004 E06020637/C05040080
8/4/2006 CD-2006-0032
6/29/1992 3826
7/24/1998 97-1105
5/19/2004 AP-04-47
4/15/2005 C8A050023
7/11/2008 SB-08-005
2/23/1993
2/8/1999 99-0031 RA
3/13/2009 09-AB-CC00075
9/8/2004 CAF040069
4/7/2005 0400692
7/6/1999 NO. C06990014
3/31/1999 C9B990019
2/17/2006 CASE # 523348
3/17/2009 09-AB-CC00075
7/13/2004 IC04-CAF-11
11/23/2004 AP-04-94
2/6/2006 E052004029501
4/12/2004 C10040030
4/18/2005 0500032
11/4/1997 97-0183 OP
9/26/1997 97-0053
6/14/2006 CO-2006-0027
4/29/2004 CAF040032
3/25/2003 03-0224
12/14/2004 152015
10/13/2004 E07030979
11/27/2007 2005001745201
12/29/1993 CEN-984
4/1/2002 CASE NO. C9B020025
7/26/2000 0007-10
3/23/1998 96-107-CC
2/19/2001 EN-17027
5/27/1997 97-020
3/28/1997 96-006-B-16 & 95-006-CMP-
12/9/2004 C06040037
12/21/1995 CEN/SSO-1076
10/6/2000 C06000025
5/27/1997 95-002
6/25/2001 SD-01-0087
1/11/1999
6/21/1999 9900214
6/1/1992 9200021
6/14/2006 CO-2006-0027
1/4/1996 CEN-1078
8/24/1995 X-94105(L)
6/3/2005 05-0018
4/29/1999 99-0015
3/23/2000 00-0008
12/22/1994 DOR-1027
9/23/1997 SEC970057
6/3/2002 02-06
12/16/1994 9400705
12/7/1998 98-0361RA
5/2/2005 05-018-S
1/25/2002 ARB010013
2/1/1985 E-5 SEPT TERM 1984
4/1/2004 C3A040018
10/9/1996 C05960066
8/30/1994
2/12/2002 CAF010019
3/12/2004 C07040030
12/18/2000 HPD# 01-15
12/5/2003 S-03-0057
5/28/1997
5/28/1997 SDO-42-97
12/29/1999 C3A950022
10/22/2007 AP-07-37
4/1/1997 AC-97-29
10/4/1996 CEN-1139
7/31/1980 ALPHA
6/9/1999 E1098 0599
9/8/2003 S-02-271-03-SC01
3/17/1998 CMS980030
11/5/1997 98-31
1/20/1993 Unknown
4/16/1998 C3A980014
12/31/2003 C8A03
8/6/2004 0400324
5/17/2001 CAF-1427
8/13/1998 98-45-S
10/15/1996 95-229
11/19/1997
1/1/1991
9/26/2006 0276-S-07/06
8/15/2005 R-2005-189
5/26/2005 CLI050014/ELI2003020802
9/8/2005 SC-2005-0042
12/21/2007 E052005000702
12/23/1997 A-1321
3/16/1998
5/17/2005 S-05088(LX)
3/26/1997 C8A970022
2/25/1998 9800006
8/7/2002 FILE #0200076
6/8/2001 SD-01-0083
6/23/1999 C9A990032
10/17/2007 CO-07-7401-S
12/8/2003 CLI030028
3/10/2005 C8A050016
1/4/1996 96-007
11/22/1993 94-0018
6/12/1998 98185
2/22/1999 99-065-CC
11/28/2006 E8A2005014702
6/28/2005 AP-05-26
8/16/2006 2006-00032
2/1/2006 NASD DISCP. PROC. E9A2004036901
1/16/2007 0600112
3/1/1987 213/87
11/29/2005 2005001069901
7/5/2006 0600005
10/20/1987 89-0020
3/15/2004 P-2003-241JD
9/5/2002 CLI002006
9/26/2000 ID1301
7/25/2000 C10000135
8/7/2001
8/1/2007 20050009074
7/10/2000
5/4/2009 2006006259501
2/5/2008 ELI04035401
5/27/1998 98144
4/15/2003 CLI030009
8/1/1996 FDIC-96-67E
7/1/2000 N/A
12/23/1997 S-3252-I
11/23/1998 C3A980061 - AWC
8/1/1990 IN8907779/AM
2/22/1999 99-013,CAF-1342
4/17/2003 C07030023
8/9/1996 DISCPL. ACTION CONSENT DOCKET #C-96-0639
12/16/1996 151996-00273
5/3/2005 AWC #E052004006001
12/31/2003 C06030040
2/16/1999 99-010, CAF-1339
7/14/2006 #2006-1467
4/6/2006 20050004254
7/9/2008 CD-2008-0021
5/9/2007 NASD ARBITRATION CASE #05-03389-FL
1/19/2005 NONE
9/24/2004
12/1/1981
8/8/2008 20070107066
10/1/1994 NONE
3/21/2006 06-C30018
9/1/1998 NO DOCKET CASE #
10/21/2003 03-194
10/15/2004 CMS040166
5/1/2000 SAC 9771-AP
2/13/1998 CD-98-0012
3/26/2003 C9A030010
7/11/2003 0300555
12/20/2005 ELI2003002604
8/9/2006 0600030
7/9/2007
2/22/2007 P-2007-80WR
8/3/2007 07-C30989
9/1/1996 20292 (SUPREME COURT OF SOUTH DAKOTA)
10/26/2007
11/25/2003
6/18/1998 SAC 8993-AP
8/8/2005 ELI2004001101
8/30/2001 C9B010072
3/11/2002 0100693
11/23/1998 98-074
10/24/2001 C9B010100
3/8/2005 FILE #0400717
12/12/2006 06-104-S
6/22/1998
10/6/2004
7/31/2007 AWC # 2006003890601
8/25/2008 5098
7/19/1998 98190
12/19/2007 0354-S-9/07
10/13/1994
9/6/1991 A.I.D. NO. 91-41
12/2/1998
5/29/2001 S-01213-LX
3/16/2006 06-0373-DIS
4/8/2003 C8A030055
12/7/2004 05-17
8/16/2005 0500209
3/28/1996
2/20/2002 N/A
2/21/2006 N/A
10/7/1999 99-062-5
2/24/2003 N/A
9/9/2005 CASE# C-03-13-06-204
9/28/2005 P-2005-491JD
2/18/2005 P-2005-48-JD
4/18/2006 N/A
12/22/2005 05DOCID117
8/26/2005 SI-2005-011
9/15/2005 E1020031861-01
1/19/2006 FILE NO. 0500540
12/26/2003 S-03289
2/1/1997 N/A
6/23/2005 R-2005-142
9/5/1996
1/30/2004 CAF040044
8/26/2004 N/A
6/21/2005 SD-05-0027
9/16/2004 CLI040025
1/20/2005 ILLINOIS CASE # 0400720
2/28/2007 P-2007-131WR
9/19/2007 52052 CASE NUMBER 07-0971 ORDER NUMBER
7/2/2002
3/24/2009 2007008724801
9/9/2005 CASE# C-03-13-06-204
3/29/2001 DOCKET #01-10/ORDER #CAF1426
2/12/1998
2/6/2005 E052004029501
1/25/2002 2001-08-034
1/25/2002 2001-04-13
8/11/2008 2007010505801
2/15/2002 NONE
5/30/2006 0363A-S-11/07
3/19/2009 0421-S-02/09
2/1/2004 ORDER # IC04-CAF-10
3/22/2007 UNAVAILABLE
4/21/1983 COMPLAINT #83-05-01L
11/14/2008 IC08-CAF-17
12/21/2004 S-04280
8/16/2004 04-C29198
4/14/2004 C05040019
12/9/2004 C07040100
9/7/2005 08-09-05-148 I
2/7/2008 5051
5/1/1999
9/1/2001 UNKNOWN
12/2/2005 2006-INV-12B
3/7/2003 03-0004
1/18/2007 20050020893-02
11/7/2003 S-03250
10/26/2005 05-C29772
11/7/2007 P-2007-825N
10/16/2007 07-C31123
6/16/2008 95715-08-AG
1/5/2009 6242
6/25/2002 2002-06-030
9/23/2002 S-02074(EX)
7/29/2008 CELSO MARTINEZ, CRD# 4733759
12/28/2005 D05-409
5/5/2003 03-0019
3/27/2006 NONE
12/3/2007
6/27/2008 CO-2008-7427-S
11/16/2004 LICENSE # 0513
10/2/2007 CO-07-7404-S
7/11/2008 ACV-2008-83WR
9/1/2005 N/A
9/18/2006
11/21/2006 S-06-0344
4/15/2003 N/A
1/1/2000 UNKNOWN
11/15/2007 CONSENT ORDER 2007-070
7/23/2007 NO. 1323 (NO 158 DB 2007)
empOrg
ROYAL ALLIANCE
MCDONALD & CO.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
E.F. HUTTON & CO., INC
R.M. DUNCAN SECURITIES, INC.
ROYAL ALLIANCE ASSOCIATES, INC.
INVESTORS SECURITY COMPANY, INC.
MUTUAL OF OMAHA COMPANIES
PREMIER GROUP, INC.
PREMIER MINERALS, INC.
PREMIER GROUP, INC.
PREMIER GROUP, INC.
FAHNESTOCK & CO. INC.
COHN COMMODITIES, INC.
PENNSYLVANIA MERCHNT GROUP, LTD.
COMISKEY KAUFMAN INC.
MORGAN STANLEY DEAN WITTER
TANAGER CAPITAL GROUP, LLC
TANAGER CAPITAL GROUP LLC
LINSCO/PRIVATE LEDGER CORP.
HIGH YIELD MANAGEMENT SECURITIES, INCORPORATED
EAGLE ROCK CAPITAL GROUP, INC.; MENDHAM CAPITAL GROUP, INC.
E.F. HUTTON & CO., INC.
SHEARSON LEHMAN BROTHERS. INC.
GOVERNMENT SECURITIES DEALER
TEXAS CAPITAL SECURITIES, INC
NATHAN & LEWIS SECURITIES, INC. ("NLS")
GLOBAL CAPITAL SECURITIES, INC.
D.H. BLAIR & CO., INC.
JANSSEN-MEYERS ASSOCIATES, LP
HOWE, BARNES & JOHNSON, INC.
MIMLIC SALES CORPORATION
SHEARSON LEHMAN BROTHERS, INC.
SHAMUS GROUP, INC.
J.F. LOWE & CO.
MCL FINANCIAL GROUP INC
MCL FINANCIAL GROUP, INC.
GDN SECURITIES, LTD.
GDN SECURITIES, LTD
T. J. RANEY & SON'S INC.
DOMINION INVESTOR SERVICES INC
DAIN BOSWORTH
STIFEL, NICOLAUS & COMPANY, INCORPORATED
ROBERT SCOTT SECURITIES
ROBERT SCOTT SECURITIES
STEPHENS, INC.
K.W. CHAMBERS & CO.
INVESCOR WHOLESALE BD, INC.
INVESCOR WHOLESALE BD, INC.
INVESCOR WHOLESALE BD, INC.
INVESCOR WHOLESALE BD, INC.
INVESCOR WHOLESALE BD,INC
SELF-EMPLOYED
TRIPP & CO., INC.
TRIPP & CO., INC.
MICHELIN & CO.
EARLYBIRDCAPITAL, INC.
TEJAS SECURITIES GROUP, INC.
DEAN WITTER
SHEARSON
WACHOVIA
RYDEX DISTRIBUTORS, INC.
MAASMUTUAL/MML INVESTORS SERVICES, INC.
THE MELTZER GROUP/MASSMUTUAL
SMITH BARNEY HARRIS & UPHAM
THE STUART-JAMES COMPANY, INCORPORATED
COOPER STREET GROUP SECURITIES, INC.
APPLE SECURITIES, INC
MERCER BOKERT BUCKMAN & REID INC
XELAN, INC.
BERTHEL FISHER & COMPANY FINANCIAL SERVICES, INC.
MCDONALD & COMPANY SECURITIES, INC.
BOTTCHER K CO., INC.
STEPHENS, INC.
A. G. EDWARDS & SONS, INC.
A. G. EDWARDS & SONS, INC.
FIANCIAL WEST GROUP
FINANCIAL WEST INVESTMENT GROUP
FIRST INTERREGIONAL EQUITY CORP.
SOUTHTRUST SECURITIES, INC.
FESHBACH BROTHERS INVESTOR SERVICES, INC.
MERRILL LYNCH
PRESIDENTIAL BROKERAGE, INC.
SAMUELS CHASE & CO. INC.
UBS FINANCIAL SERVICES INC.
SHENANDOAH FINANCIAL SERVICES
PRUDENTIAL
MERRILL LYNCH
MURPHY FINANCIAL ADVISORS INC
SIGNATOR INVESTORS, INC.
DELTA INVESTMENT SERVICES, INC.
WARREN & BROWN ASSOCIATES, INC
WARREN & BROWN ASSOCIATES INC
CLARKE LANZEN SKALLA INVESTMENT FIRM, INC.
HENNION & WALSH INC.
HENNION & WALSH INC
HENNION & WALSH, INC.
SOURCE SECURITIES, INC.
PARNASSUS INVESTMENTS
SOUTHMARK FINANCIAL SERVICES
SALOMON SMITH BARNEY
MCATEE INVESTMENT SERVICES, INC.
FIRST ALLIED SECURITIES
MASTERS FINANCIAL GROUP, INC.
HAGAMAN & OATES SECURITY CO. A/K/A INVEST LINC SECURITIES LLC
HAGAMAN, OATES & PARIS SECURITIES CO. AKA MS SECURITIES CO.
DUNHAM & ASSOCIATES INVESTMENT COUNSEL
SOUTHWEST SECURITIES, INC.
CREDIT SUISSE FIRST BOSTON CORPORATION
RJO SECURITIES
RJO SECURITIES, INC
LIBERTY SECURITIES CORPORATION
ISFA CORPORATION
K.W. CHAMBERS & CO.
DEUTSCHE BANK SECURITIES
CIBC WORLD MARKETS CORP./OPPENHEIMER & CO. INC.
MOORS & CABOT
SHERWOOD SECURITIES CORP
DONALDSON, LUFKIN & JENRETTE SECURITIES CORP., N/K/A PERSHING LLC.
ADVANCED EQUITIES, INC.
A.G. EDWARDS & SONS
STEPHENS INC.
FIRST MONTAUK SECURITIES CORPORATION
VSR FINANCIAL SERVICES, INC.
BUCHANAN & CO., INC.
CALTON & ASSOCIATES, INC.
PYRAMID FINANCIAL CORPORATION
PYRAMID FINANCIAL
PYRAMID FINANCIAL CORPORATION
COMMONWEALTH CHURCH FINANCE, INC. A/K/A CHARTER FINANCIAL SERVICES
COMMONWEALTH CHURCH FINANCE
PAINEWEBBER, INCORPORATED
OXFORD FINANCIAL GROUP
RUSHMORE SECURITIES CORPORATION
INVESTORS TRADING CORPORATION D/B/A OXFORD FINANCIAL GROUP
MORGAN STANLEY & CO. INCORPORATED
FIRST GATEWAY SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
SIGNAL SECURITIES, INC.
OGILVIE SECURITY ADVISORS CORPORATION
JP INDUSTRIES INC.
MADISION FINANCIAL GROUP, INC.
ALEX. BROWN & SONS, INC.
PRUDENTIAL SECURITIES
FERRIS BAKER WATTS, INC.
FERRIS BAKER WATTS INC.
GREYSTONE SECURITIES CORPORATION
GREYSTONE SECURITIES CORPORATION
BEERBAUM & BEERBAUM FINANCIAL AND INSURANCE SERVICES, INC.
W.J. NOLAN & COMPANY, INC.
LINCOLN NATIONAL LIFE INSURANCE COMPANY
WHITAKER SECURITIES LLC
WADDELL & REED INC.
J. J. KENNY DRAKE, INC.
PIERCE & COMPANY L.P.
TJC LLC
AMERICAN INVESTORS GROUP, INC.
UNIVERSAL SECURITIES, INC
MERRILL LYNCH
ARLINGTON ASSET MANAGEMENT
FIRST EMPIRE SECURITIES, INC
SMITH BARNEY
THE THORNWATER COMPANY L.P.
PAINEWEBBER
AMERICAN TRADING & INVESTMENTS INC
CHUBB LIFE
PRIMEVEST
REXCO ENERGY SECURITIES, INC.
MERIDIAN ASSOCIATES, INC.
MERIDIAN ASSOCIATES, INC.
MERIDIAN ASSOCIATES, INC.
MERIDIAN DUNHILL , INC.
WILMINGTON BROKERAGE SERVICES COMPANY
POWELL & SATTERFIELD, INC
POWELL & SATTERFIELD
POWELL & SATTERFIELD, INC
PACKLERAND BROKERAGE SERVICES, INC.
FREIDRICH, BAILEY, & FLAYHART ASSOCIATES, INC.
PAINEWEBBER, INC.
J.W. GANT & ASSOCIATES, INC.
SENTRA SECURITIES CORPORATION
DORTCH SECURITIES & INVESTMENTS, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
CIGNA SECURITIES
RIDGEWOOD SECURITIES CORPORATION
RIDGEWOOD SECURITIES CORPORATION
RIDGEWOOD SECURITIES CORPORATION
N/A
INTERSTATE SECURITIES CORORATION
SPELMAN & CO., INC.
ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION
SHEARSON LEHMAN HUTTON, INC.
EDI FINANCIAL, INC.
EDI FINANCIAL, INC.
A.G. EDWARDS & SONS, INC.
BUCHANAN & CO, INC.
LEXINGTON SECURITIES, INC.
MADISON SECURITIES, INC.
SOUTHWEST SECURITIES, INC.
CHASE INVESTMENT SERVICES CORP.
PHILADELPHIA BROKERAGE CORPORATION
NEWBRIDGE SECURITIES CORPORATION
MCDONALD INVESTMENTS INC.
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INCORPORATED
HOWARD, WEIL
GRAYSTONE NASH, INC.
DINA SECURITIES, INC.
DINA SECURITIES, INC.
BENEFITSCORP EQUITIES INC.
MJK CLEARING, INC.
MJK CLEARING, INC.
SANDS BROTHERS & CO., LTD.
WEATHERLY SECURITIES CORPORATION
TAGLICH BROTHERS, INC.
CAPITAL SECURITIES OF AMERICA, INC.
PAINEWEBBER INCORPORATED
NOT SECURITIES LICENSED
ESSEX NATIONAL SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INC
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
THE KEY GROUP INC
EGS SECURITIES CORP
TERRA NOVA TRADING, L.L.C.
MIMLIC SALES CORPORATION
COX GLOBAL ASSOCIATES
DELTA EQUITY SERVICES CORPORATION
J.J.B. HILLIARD, W.L. LYONS, INC.
NEW ENGLAND MUTUAL LIFE INS CO
SELF-SUMMERS AGENCY- SOLE PROPRIETOR
BRIDGE TRADING COMPANY
ALLISON, ROSENBLUM & HANNAHS, INC
ALLMERICA AND EFFECTIVE 12/16/02 SECURITIES AMERICA, INC.
VERAVEST
SECURITIES AMERICA, INC.
FSC SECURITIES CORPORATION
FSC SECURITIES CORPORATION
FSC SECURITIES
SECURITIES AMERICA
TORREY PINES
PRUDENTIAL SECURITIES INCORPORATED
SMH CAPITAL ADVISORS
D.H. BLAIR & CO., INC.
SHEARSON LEHMAN BROTHERS
PAINEWEBBER
INTERSECURITIES, INC
TOWER EQUITY
SECURITIES AMERICA, INC.
DAVENPORT & COMPANY, LLC
NATIONS SECURITIES
EDWARD D. JONES & CO.
B.F. ANDERSON INVESTMENT SECURITIES, INC.
NONE
WINTON ASSOCIATES, INC.
CONCERVATIVE FINANCIAL SERVICES, INC.
CONCERVATIVE FINANCIAL SERVICES, INC.
ALTEGRIS INVESTMENTS, INC.
SALOMON BROTHERS, INC
GREAT NATION INVESTMENT CORPORATION
T.J. RANEY & SONS, INC.
FIRST SECURITIES GROUP OF CALIFORNIA
SMITH BARNEY
SOUTHERN FINANCIAL GROUP
THE PLANNING GROUP, INC. (DBA ASSET STRATEGIES, INC.)
BLINDER & ROBINSON
TURNER & SELLHORN SECURITIES, INC.
ESSEX NATIONAL SECURITIES, INC.
WILLIAMS CAPITAL GROUP
SELF IMPLOYED
SELF EMPLOYED
NONE
ENGLER BUDD AND COMPANY, INC.
MERRILL LYNCH PIERCE FENNER & SMITH
STUART - JAMES
CREDIT SUISSE FIRST BOSTON CORPORATION
APS FINANCIAL CORPORATION
WORTHEN INVESTMENT ADVISORY SERVICE,INC.
MELTZER AND ASSOCIATES
MELTZER AND ASSOCIATES
SHEARSON LEHMAN HUTTON, INC.
MIDWEST DISCOUNT BROKERS, INC.
MASTERS FINANCIAL GROUP INC.
MASTERS FINANCIAL GROUP, INC.
HARRISON MAYS SECURITIES, INC.
MORGAN KEEGAN & COMPANY, INC.
LA JOLLA TRADING GROUP
A.B.A. INVESTMENT CORP.
SUNDANCE RESOURCES INC.
BCS BROKERAGE, INC.
CHUBB SECURITIES CORP
CARNEGIE INVESTOR SERVICES
AMERICAN EXPRESS FINANCIAL ADVISORS
BROADWAY BROKERAGE SERVICES INC
ROYAL ALLIANCE
ROYAL ALLIANCE
ROYAL ALLIANCE
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CHATFIELD DEAN & CO., INC.
THOMAS JAMES ASSOCIATES, INC.
J.T. MORAN & CO
GKN SECURITIES CORP.
GKN SECURITIES CORP.
U.S. ASSOCIATES, INC.
COMMONWEALTH EQUITY SERVICES, INC.
PRIMERICA FINANCIAL SERVICES
DEAN WITTER REYNOLDS, INC
GSG GLOBAL SECURITIES GROUP, INC.
GSG GLOBAL SECURITIES GROUP INC.
THE STUART JAMES COMPANY
MORGAN STANLEY & CO. INCORPORATED
BEAR, STEARNS & CO. INC.
LEERINK, SWANN, GARRITY, SOLLAMI, YAFFE & WYNN, INC.
FERRIS, BAKER WATTS, INC.
R.M. DUNCAN SECURITIES, INC.
R.M. DUNCAN SECURITIES, INC.
KAPLAN & CO. SECURITIES INC.
LF FINANCIAL
SLOAN SECURITIES CORP.
SLOAN SECURITIES CORP
SLOAN SECURITIES CORP
LEK SECURITIES CORPORATION
GOLDMAN, SACHS & CO.
SPEAR LEEDS & KELLOGG, LP
SHEARSON LEHMAN HUTTON
SAMUEL A. RAMIREZ & CO., INC. ("SRC")
YOUNG, SMITH & PEACOCK
JASON MACKENZIE SECURITIES, INC
TOMORROW S MONEY SEMINARS, INC.
R.H. DAMON & CO.
UBS FINANCIAL SERVICES,INC.
ROTH CAPITAL PARTNERS
ROTH CAPITAL PARTNERS
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INCORPORATED
ESSEX NATIONAL SECURITIES
MORGAN STANLEY & CO. INCORPORATED
UBS FINANCIAL SERVICES, INC.
A.G. EDWARDS & SONS, INC.
PURSHE KAPLAN STERLING INVESTMENTS
LITWIN SECURITIES, INC.
RENAISSANCE FINANCIAL CORPORATION
PRUDENTIAL SECURITIES INCORPORATED
JOSEPH CHARLES AND ASSOCIATES
JOSEPH CHARLES AND ASSOCIATES, INC.
NASH, WEISS & COMPANY
LONE STAR SECURITIES, INC.
LONE STAR SECURITIES, INC.
GILBERT MARSHALL & CO.
ELITE INVESTMENTS, LLC
JOSEPH CHARLES & ASSOC., INC.
NATIONAL SECURITIES CORPORATION
JCC, INC.
GIBRALTAR SECURITIES CO.
TOMLIN SECURITIES INC.
HSBC FUTURES
BFT FINANCIAL GROUP, LLC
SELF EMPLOYED
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
POWER SECURITIES CORPORATION
BEN KENNEDY & ASSOCIATES
RAYMOND JAMES FINANCIAL SERVICES
BARRON CHASE SECURITIES, INC.
FOX & COMPANY
NOMURA SECURITIES INTERNATIONAL INC.
MERRILL LYNCH
NORTHWESTERN MUTUAL INVESTMENT SERVICES
J.T. MORAN & COMPANY
WEATHERLY SECURITIES CORP.
WEATHERLY SECURITIES CORPORATION
PIPER JAFFRAY & CO.
SUMNER HARRINGTON LTD
METLIFE
TBG FINANCIAL & INSURANCE SERVICES, CORPORATION
METLIFE
FIRST EAGLE, INC.
PRUDENTIAL SECURITIES INC.
U.S. BANCORP PIPER JAFFRAY INC.
JOSEPHTHAL & CO, INC.
SECURITIES AMERICA, INC.
SUNTRUST INVESTMENT SERVICES, INC.
GKN SECURITIES CORP.
AMEREST SECURITIES INC.
OPPENHEIMER & CO. INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA
HIBBARD BROWN & CO., INC.
CARNEGIE INVESTORS SERVICES
METLIFE
WESTPARK CAPITAL, INC.
WESTPARK CAPITAL INC
WESTPARK CAPITAL, INC.
WESTPARK CAPITAL, INC.
EDWARD D. JONES & CO., L.P.
PAINEWEBBER, INC.
OXFORD FINANCIAL GROUP
MORGAN STANLEY & CO. INCORPORATED
W.J. GALLAGHER & COMPANY, INC.
CENTRAL BROKERAGE SERVICES, INC.
ESI
MURJEN FINANCIAL, INC.
LAIDLAW & COMPANY (UK) LTD
TIAA-CREF
PAINEWEBBER INCORPORATED
CENTURY SECURITIES ASSOCIATES, INC.
A. G. EDWARDS & SONS, INC.
PIERCE & COMPANY L.P.
BEREAN CAPITAL
AVATAR INVESTORS ASSOCIATES & ZWEIG/AVATOR CAPITAL MGMT CORP.
WATERSTONE FINANCIAL GROUP, INC.
MERRIL LYNCH PIERCE, FENNER & SMITH INC.
TFS SECURITIES, INC.
HUNTER SCOTT FINANCIAL, LLC
HUNTER SCOTT FINANCIAL, LLC
JEFFERSON PILOT SECURITIES CORPORATION
THE (WILSON) WILLIAMS FINANCIAL GROUP
USG ANNUITY & LIFE
WORLD INVEST CORPORATION
WORLD INVEST CORPORATION
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
FIRST ASSET MANAGEMENT, INC.
WILLIAM SCOTT AND COMPANY LLC
WILLIAM SCOTT & CO, LLC
NOWTRADE CORP.
FIRST AMERICAN SECURITIES, INC.
CALTON & ASSOCIATES, INC.
EDWARD JONES
BILTMORE SECURITIES, INC.
PENSION CONSULTANTS, INC.
TEXAKOMA FINANCIAL, INC.
PRUDENTIAL SECURITIES INC.
HD VEST
ST BERNARD FINANCIAL SERVICES, INC.
ST BERNARD FINANCIAL SERVICES, INC
DEAN WITTER REYNOLDS INC.
MAPLE LEAF SECURITIES INC.
E.F. HUTTON
AXIOM CAPITAL MANAGEMENT, INC.
FIRST FINANCIAL UNITED INVESTMENTS LTD.,LLP AKA D.H. HILL SECURITIES, LLP
W. H. COLSON SECURITIES, INC.
PRUDENTIAL SECURITIES
MERIDIAN INVESTMENT MANAGEMENT CORPORATION
GLOBAL CROWN CAPITAL, LLC
CAPITAL INVESTMENT MANAGEMENT, INC.
DEAN WITTER
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
UBS FINANCIAL SERVICES INC.
RM SECURITIES CORPORATION
CAMBRIDGE WAY INC.
CAMBRIDGE EQUITY ADVISORS, INC
J.C. BRADFORD & CO.
COMMISSION DISCOUNT
SHEARSON LEHMAN BROTHERS INC.
PRUDENTIAL -BACHE SECURITIES
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
NORTH AMERICAN MANAGEMENT
MERRILL LYNCH
CARTY & COMPANY INC.
DEAN WITTER REYNOLDS, INC
DEAN WITTER
PRUDENTIAL-BACHE SECURITIES, INC
DUNCAN-WILLIAMS, INC.
AMERICAN MUNICIPAL SECURITIES, INC
LINCOLN FINANCIAL ADVISORS CORP.
MORGAN KEEGAN & CO.
MORGAN STANLEY DW, INC.
HARBOUR INVESTMENTS, INC.
A.G. EDWARDS & SONS, INC.
WORLD EQUITY GROUP, INC.
LORD ABBETT
STEPHENS, INC.
FIRST NORTHERN SECURITIES
DELTA LIFE SECURITIES, INC.
J.J.B. HILLIARD, W.L. LYONS, INC.
SALOMON SMITH BARNEY
SALOMON SMITH BARNEY
NEW ENGLAND SECURITIES
NEW ENGLAND SECURITIES
NEW ENGLAND SECURITIES
JANNEY MONTGOMERY SCOTT LLC
PRUDENTIAL SECURITIES, INC
GRUNTAL & CO., L.L.C.
MERRILL LYNCH PIERCE, FENNER & SMITH
SHEARSON LEHMAN BROTHERS
BLINDER ROBINSON & CO.
E.F. HUTTON
EDWARD D. JONES & CO.
SMITH BARNEY
JANNEY MONTGOMERY SCOTT, INC.
JANNEY MONTGOMERY SCOTT LLC
AMERICAN HERITAGE CHURCH FINANCE
A.G. EDWARDS & SONS, INC.
A. G. EDWARDS & SONS, INC.
C.P. BAKER & CO., LTD.
C.P. BAKER & COMPANY, LTD.
GRUNTAL & CO. INC.
DEAN WITTER REYNOLDS, INC.
PRIMUS FINANCIAL SERVICES, INC.
CITIGROUP GLOBAL MARKETS INC.
A.G. EDWARDS & SONS, INC.
A.G. EDWARDS & SONS, INC.
A.G. EDWARDS & SONS, INC.
NETWORK 1 FINANCIAL SECURITIES,INC.
NETWORK 1 FINANCIAL SECURITIES, INC.
NETWORK 1 FINANCIAL SECURITIES, INC.
NETWORK 1 FINANCIAL SECURITIES, INC.
NETWORK 1 FINANCIAL SECURITIES
PML SECURITIES, CO.
SHEARSON LEHMAN BROTHERS, INC.
E.F. HUTTON & CO.
ROYAL ALLIANCE
PRUDENTIAL SECURITIES INC.
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
PENRUD & COMPANY
PENROD & COMPANY
THE (WILSON) WILLIAMS FINANCIAL GROUP
WFG INVESTMENTS, INC.
COMMERCE INVESTMENT CORP
LEONARD SECURITIES, INC.
LEONARD SECURITIES, INC.
ROSS OIL & INVESTMENT, INC.
ROTAN, MOSLE, INC.
INVESTORS DIVERSIFIED SERVICES, INC.
BACHE HALSEY STUART SHIELDS, INC
FIRST AFFILIATED SECURITIES, INC.
VINING-SPARKS SECURITIES, INC.
ROYAL ALLIANCE
WORTHEN INVESTMENTS
WORTHEN INVESTMENTS
SOUTHEAST BANK BROKERAGE SERVICES, INC.
SOUTHEAST BANK BROKERAGE SERVICE, INC.
INVESTMENT MANAGEMENT & RESEARCH
A.G. EDWARDS & SONS, INC.
VINING-SPARKS SECURITIES, INC
PRUDENTIAL SECURITIES
PIM FINANCIAL SERVICES, INC.
PIM FINANCIAL SERVICES, INC.
HOWARD, WEIL, LABOUISEE, FRIEDRICHS INC.
SMITH BARNEY, INC.
VIRGINIA PENSION CENTER, INC.
PERELMAN-BARLEY & ASSOCIATES, INC
WELLER ANDERSON & CO., LTD
WELLER, ANDERSON & CO., LTD.
FIRST NATIONAL BANK OF TULSA
M.G.S.I. SECURITIES, INC.
DUNCAN-WILLIAMS, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
MASTERS FINANCIAL GROUPS, INC.
EDWARD D. JONES & CO.
STIFEL NICOLAUS
SEAY-MOSES COMPANY
MICHAEL LEVINSON AND CO.
SMITH BARNEY HARRIS UPHAM & CO., INC.
WORTHERN INVESTMENTS, INC
EDWARD D. JONES
SOURCES SECURITIES
ADDISON SECURITIES, INC.
PROSPERA FINANCIAL SERVICES, INC. (F/K/A ADDISON SECURITIES, INC.)
MORGAN STANLEY DW, INC.
TEXAS SECURITIES, INC.
NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY
OGILVIE SECURITY ADVISORS CORPORATION
OGILVIE SECURITY ADVISORS CORP.
OGILVIE SECURITY ADVISORS CORP.
OGILVIE SECURITY ADVISORS CORP.
OGILVIE SECURITY ADVISORS CORP.
MERRILL LYNCH
PRIVATE LEDGER FINANCIAL SERVICES, INC.
PRUDENTIAL BACHE
ANDOVER SECURITIES, INC.
PAINEWEBBER INCORPORATED
REGIONS INVESTMENT COMPANY, INC.
A. G. EDWARDS & SONS, INC.
EDWARD D. JONES & CO., L.P.
LEGG MASON WOOD WALKER, INC.
JOHN MUIR & CO.
EQUITEC SECURITIES CO.
E.F. HUTTON & COMPANY, INC.
TRANS-ACTION SECURITIES CORPORATION
V.J. MCGUINNESS CO.
GKN SECURITIES CORP.
GKN SECURITIES CORP.
GKN SECURITIES CORP.
N.I.S. FINANCIAL SERVICES, INC.
FIRST FLUSHING SECURITIES
FIRST INVESTORS CORPORATION
PRUDENTIAL-BACHE SECURITIES, INC.
A. G. EDWARDS & SONS, INC.
A.G. EDWARDS & SONS
ASKAR CORP.
ASKAR CORP
ALSTEAD, STRANGIS & DEMPSEY, INC.
GILFORD SECURITIES
AMERICAN MUNICIPAL SECURITIES, INC
POWELL & SATTERFIELD, INC.
STEPHENS INC.
MUNICO, INC.
BATES SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
MERRILL LYNCH
SECURICORP, INC.
HANIFEN, IMHOFF & SAMFORD, INC.
UBS FINANCIAL SERVICES, INC.
PRUDENTIAL BACHE
PRUDENTIAL BACHE
A. G. EDWARDS & SONS, INC.
MARK TWAIN BROKERAGE SERVICES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
J. MILTON NEWTON, INC.
PAINEWEBBER INC.
EF HUTTON
TJC OPTIONS
TJC OPTIONS
FERKAUF ROGGIN
FERKAUF ROGGIN
PRUDENTIAL BACHE SECURITIES, INC
POWELL & SATTERFIELD, INC.
CAPTONE INVESTMENTS
CAPSTONE INVESTMENTS
PRUDENTIAL-BACHE SECURITIES, INC.
PRUDENTIAL-BACHE SECURITIES, INC.
PRUDENTIAL SECURITIES, INC.
APS FINANCIAL CORPORATION
INVESTMENT SECURITIES OF O.K., INC.
FIRST STATE INVESTMENTS, INC.
FIRST STATE INVESTMENTS, INC
PA FINANCIAL ADVISORS, INC
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
OGILVIE SECURITY ADVISORS CORPORATION
OGILVIE SECURITY ADVISORS CORP.
R. SEELAUS & CO., INC.
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
SMITH BARNEY HARRIS OPHAM & CO
UBS FINANCIAL SERVICES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
PRESCOTT, BALL & TURNER
GRUNTAL & CO., L.L.C.
CAREY, THOMAS & ASSOCIATES
VAN CLEMENS & CO., INC.
VAN CLEMENS & CO., INC.
VAN CLEMENS & CO. INCORPORATED
VAN CLEMENS & CO. INCORPORATED
MCGINN SMITH & CO, INC.
MCGINN, SMITH & CO., INC.
RM STARK & CO INC.
CG EQUITY SALES N/K/A CIGNA SECURITIES INC.
SHEARSON, LEHMAN, HUTTON
TRACK SECURITIES CORP.
BRIARCLIFF CAPITAL CORP
RAYMOND, JAMES & ASSOCIATES, INC.
TRULOCK & CO
TRULOCK & CO
A. G. EDWARDS & SONS, INC.
BOETTCHER & COMPANY, INC.
CENTRAL SECURITIES CORPORATION
THOMAS F. WHITE & CO., INCORPORATED
SHOEMAKER SECURITIES COMPANY, INC.
PRUDENTIAL SECURITIES, INC.
INDX SOFTWARE CORPORATION
BOENNING & SCATTERGOOD, INC.
BOENNING & SCATTERGOOD, INC.
SCHNEIDER, BERNET & HICKMAN
POWELL & SATTERFIELD, INC.
POWELL & SATTERFIELD, INC.
POWELL & SATTERFIELD INC.
POWELL & SATTERFIELD, INC.
POWELL & SATTERFIELD, INC.
POWELL & SATTERFIELD, INC.
POWELL & SATTERFIELD
POWELL & SATTERFIELD, INC.
EDWARD D. JONES & CO.
EDWARD D. JONES & CO.
J.C.BRADFORD
EQUITY SERVICES, INC.
FSC SECURITIES CORP
BEAR, STEARNS, & CO.
SCOTTSDALE SECURITIES, INC.
PERPETUAL INVESTMENT ASSOCIATES
DEAN WITTER REYNOLDS, INC.
RAYMOND JAMES FINANCIAL SERVICES, INC.
F.L. PUTNAM & COMPANY, INC.
F.L. PUTNAM & COMPANY, INC.
F.L. PUTNAM & COMPANY, INC.
E F HUTTON & CO
FIRST OF MI CORP
DICKINSON & CO.
INTERSTATE INVESTMENTS, INC. (N.K.A BYAN, WORLEY & CO., INC.)
LINCOLN NATIONAL
T. J. RANEY & SONS, INC.
T. J. RANEY & SONS, INC.
T.J. RANEY & SONS, INC.
PEREMEL & CO., INC.
PEREMEL & CO., INC.
LETTERS, PEREMEL & RASHBAUM, INCORPORATED
CITATION FINANCIAL GROUP, L.P.
MILLER, JOHNSON & KUEHN, INCORPORATED
HD BROUS AND CO.
BLUNT ELLIS & LOEWI, INC
COORDINATED CAPITAL SECURITIES INC.
COORDINATED CAPITAL SECURITIES, INC.
FIRST SPRINGFIELD SECURITIES
LINSCO FINANCIAL GROUP, INC.
LINSCO FINANCIAL GROUP, INC.
INVESTMENT ADVISORS & CONSULTANTS, INC.
SELF-EMPLOYED
SELF-EMPLOYED
CROWELL, WEEDON & CO.
BACHE & CO
LEGG MASON WOOD WALKER, INC.
BACHE HALSEY STUART
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
E.F. HUTTON & CO.
PORTSMOUTH FINANCIAL SERVICES, INC
FAHNESTOCK & CO. INC.
OPPENHEIMER & CO. INC.
ANCHOR NATIONAL FINANCIAL SERVICES
M. A. SAUNDERS & CO.
BRENNER STEED INC.
PRUDENTIAL SECURITIES INCORPORATED
SENTRA SECURITIES
DAIN RAUSCHER INCORPORATED
INVESTORS COMPANY
E.F. HUTTON & COMPANY, INC
BLOUNT PARRISH & COMPANY, INC.
BLOUNT, PARRISH, & ROTON
PRESTIGE FINANCIAL CENTER
PRESTIGE FINANCIAL CENTER
BACHE & CO.
ACCESS FINANCIAL GROUP, INC.
LASALLE ST. SECURITIES, INC.
HERETH, ORR & JONES, INC.
N/A
HERETH, ORR, & JONES, INC.
CRUTTERNFRN, JUSI & MERHAB, INC.
CRUTTENDEN, JOSLD MERHAB, INC.
CRUTTENDEN, JUSI & MERHAB, INC.
NEW YORK LIFE INSURANCE COMPANY
PARKER/HUNTER INCORPORATED
SHEARSON LEHMAN HUTTON, INC.
DAN O'SABEN & ASSOCIATES
SALOMON SMITH BARNEY INC.
A. G. EDWARDS & SONS, INC.
A. G. EDWARDS & SONS, INC.
A.G. EDWARDS & SONS, INC.; PORCARI, FEARNOW, & ASSOCIATES
KEOGLER MORGAN
STIFEL, NICOLAUS & CO., INC.
A.G. EDWARDS & SONS, INC.
THOMSOM MCKINNON SECURITIES INC
CAPITAL SECURITIES, INC.
ADVANTAGE CAPITAL CORPORATION
HEIDTKE & COMPANY, INC.
HEIDTKE & COMPANY, INC.
HEIDTKE & COMPANY, INC.
HEIDTKE & COMPANY, INC.
SHIELDS & COMPANY
BELL & BECKWITH
R. ROWLAND AND COMPA NY, INC.
PAINEWEBBER, INC
GEORGE K. BAUM & CO.
PRUDENTIAL SECURITIES INCORPORATED
TENNESSEE CAPITAL CORPORATION
TENNESSEE CAP[ITAL
TENNESSEE CAPITAL
TENNESSEE CAPITAL
ENGLER AND BUDD COMPANY
SUMMIT INVESTMENT CORP
GILLESPIE & HOLLAND, INC.
GILLISPIE & HOLLAND, INC.
BEAR, STEARNS & CO.
THE ROBINSON-HUMPHREY COMPANY, LLC
R.G. DICKINSON & CO.
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
SUMMIT BROKERAGE SERVICES INC
FIRST SIERRA INVESTMENT, INC. AND HIGHLAND SECURITIES
HIGHLANDS SECURITIES CORP., F/K/A TARTAN INVESTMENT CORP.
HIGHLANDS SECURITIES CORP., F/K/A TARTAN INVESTMENT CORP.
FIRST SIERRA INVESTMENT, INC.
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
MORGAN STANLEY DW INC.
DORSEY & CO., INC.
DORSEY & CO., INC.
NORTHSTAR SECURITES, INC.
A. KEN FLAKE FINANCIAL SERVICES INC DBA RESERVE MANAGEMENT INC (114489)
DONALDSON, LUFKIN & JENRETTE SECURITIES CORP
WESTPORT
ADVEST
WESTPORT FINANCIAL GROUP, INC.
NET AFTER TAX, INC.
WESTPORT FINANCIAL GROUP INC.
ANCHOR SECURITIES INC.
UBS FINANCIAL SERVICES, INC.
E. F. HUTTON & COMPANY INC
SCHERCK, STEIN & FRANC, INC.
DONALD SHELDON & CO., INC.
DONALD SHELDON & CO., INC.
A.G. BECKER,INC.
J.C. BRADFORD & CO.
BOENNING & SCATTERGOOD INC
BOENNING & SCATTERGOOD, INC.
BOENNING & SCATTERGOOD, INC.
WILLIAM BLAIR & COMPANY, L.L.C.
E.F. HUTTON
E. F. HUTTON
PAINEWEBBER
E.F. HUTTON & CO., INC.
SLATERY SECURITIES GROUP, INC.
NEW SOUTH SECURITIES
CHURCH, GREGORY, ADAMS SECURITIES CORP.
CHURCH, GREGORY, ADAMS SECURITIES CORP.
STEPHENS INC.
CALAMOS ASSET MANAGEMENT, INC.
JON R. BRITTENUM & ASSOCIATES, INC.
FIRST INVESTMENT SECURITIES, INC
JON R. BRITTENUM & ASSOCIATES, INC.
FIRST INVESTMENT SECURITIES, INC
FIRST INVESTMENT SECURITIES INC
COLLINS, LOCKE, & LASATER, INC
JON BRITTENUM & ASSOCIATEES, INC
HD BROUS & CO., INC.
HD BROUS & CO., INC.
WUNDERLICH SECURITIES, INC.
WUNDERLICH SECURITIES, INC.
WUNDERLICH SECURITIES INC
WUNDERLICH SECURITIES INC
WUNDELRICH SECURITIES, INC.
WUNDERLICH SECURITIES, INC.
WUNDERLICH SECURITIES, INC
WUNDERLICH SECURITIES, INC.
WUNDERLICH SECURITIES, INC.
WUNDERLICH SECURITIES, INC
HD BROUS & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
MERRILL LYNCH
SMITH BARNEY
HH & H DEVELOPMENT CORPORATION
HH & H DEVELOPMENT CORPORATION
PRUCO SECURITIES, LLC.
CARTY & COMPANY, INC.
CARTY & COMPANY INC
CARTY & COMPANY, INC
CARTY & COMPANY INC
CARTY & COMPANY, INC
CARTY & COMPANY, INC.
CARTY & COMPANY INC
CARTY & COMPANY INC
CARTY & COMPANY INC
CARTY & COMPANY INC
CARTY & COMPANY INC
CARTY & COMPANY, INC
PAINEWEBBER INCORPORATED
PIPER JAFFRAY & HOPWOOD
BECKER SECURITIES CORP.
REYNOLDS SECURITIES
REYNOLDS & CO.
OPPENHEIMER & CO
A. G. EDWARDS & SONS, INC.
ROBINSON-HUMPHREY COMPANY, INC
BC CHRISTOPHER SECURITIES CO.
PHOENIX MUTUAL
GABELLI & COMPANY, INC.
SHEARSON
EDWARD & HANLEY
BACHE AND COMPANY
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
ASSET MANAGEMENT ADVISORS, INC.
OLDE & CO.
SOMERSET EQUITIES CORP.
ALEX. BROWN & SONS INCORPORATED
BEAR STEARNS & CO.
AXIOM CAPITAL MANAGEMENT, INC.
MOSELEY SECURITIES CORP.
ROTHSCHILD INVESTMENT CORPORATION
SUTRO & CO., INCORPORATED
FEBCO INC
TRANSAMERICA FINANCIAL RESOURCES
SANDS BROTHERS & CO., LTD.
STIFEL NICHOLAUS & CO., INC.
HIBBARD BROWN & CO., INC.
SCHNEIDER SECURITIES, INC.
WORKMAN SECURITIES CORPORATION
LPL FINANCIAL
LPL FINANCIAL
VISION SECURITIES
STRATTON OAKMONT INC.
STRATTON OAKMONT ,INC.
SUMNER HARRINGTON LTD.
SUMNER HARRINGTON LTD.
1717 CAPITAL MANAGMENT COMPANY
GOVERNMENT SECURITIES CORPORATION
BROKER DEALER FINANCIAL SERVICES CORP.
SUN INVESTMENT SERVICES
LINSCO/PRIVATE LEDGER CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
H.D. BROUS & CO.
JANNEY MONTGOMERY SCOTT
WUNDERLICH SECURITIES INC.
GRUNTAL & CO., L.L.C.
PAULSON INVESTMENT COMPANY, INC.
BROOKS SECURITIES, INCORPORATED
THRIVENT INVESTMENT MANAGEMENT INC
ROTHSCHILD INVESTMENT CORPORATION
TASIN AND COMPANY INC.
TASIN & COMPANY
CONTINENTAL BROKER DEALER CORP.
FRANKLIN-LORD, INC
BENCHMARK SECURITIES
WESTFIELD FINANCIAL CORPORATION
FIRST CITIZENS FINANCIAL PLUS
SMITH NEWCOURT
TRUSTMARK FINANCIAL SERVICES, INC.
CITIGROUP GLOBAL MARKETS INC.
MOORS & CABOT FINANCIAL ADVISORS LLC
EDWARD JONES
CERTES CAPITAL, LLC
BANC OF AMERICA INVESTMENT SERVICES, INC.
TORREY PINES SECURITIES, INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
SUMNER HARRINGTON LTD.
SUMNER HARRINGTON LTD.
TRI-STAR FINANCIAL
W. H. MELL ASSOCIATES, INC.
UBS FINANCIAL SERVICES INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
MILKIE/FERGUSON INVESTMENTS INC.
CONTINENTAL BROKER DEALER
SII
ROAN/MEYERS ASSOCIATES, L.P.
MEYERS ASSOCIATES
GARDEN STATE SECURITIES, INC.
DAVID LERNER ASSOCIATES
WOODBURY FINANCIAL SERVICES
WOODBURY FINANCIAL SERVICES
I-TRADEDIRECT.COM CORP
I-TRADEDIRECT.COM CORP
GAINES, BERLAND, INC.
LADENBURG CAPITAL MANAGEMENT INC.
ENERGY SECURITIES, INC.
GAINES, BERLAND INC.
J. ALEXANDER SECURITIES, INC. CRD# 7809
THE ARMOR FINANCIAL GROUP, INC.
REEF SECURITIES, INC
WESTERN AMERICAN SECURITIES CORPORATION
WESTERN AMERICAN SECURITIES CORPORATION
STERLING FOSTER & COMPANY, INC.
SOUTHWEST SECURITIES, INC. AND MYDISCOUNTBROKER.COM
WARBURG DILLON READ LLC
GLOBAL PRECIOUS METALS
GARDEN STATE SECURITIES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SANDS BROTHERS & CO., LTD.
CONSOLIDATED TRADING
TJC OPTIONS
JANNEY MONTGOMERY
L.C. WEGARD
EISNER SECURITIES
LAIDLAW & CO. (UK) LTD.
GENEVA CAPITAL CORPORATION
OLSTEIN & ASSOCIATES, L.P.
DEAN WITTER
SANDLER O'NEILL & PARTNERS, L.P.
SUNCOAST CAPITAL SECURITIES
EDWARD JONES
PEN ASSOCIATES, INC.
INVESTORS ASSOCIATES, INC.
INVESTORS ASSOCIATES, INC.
SCHNEIDER SECURITIES, INC.
UBS PAINEWEBBER
ACCOCIATED SECURITIES CORPORATION
EGS SECURITIES CORP.
METROPOLITAN INVESTMENT SECURITIES, INC.
ALPS MUTUAL FUNDS SERVICES, INC.
FIRST ALLIED SECURITIES INC
FIRST ALLIED SECURITIES, INC.
WOODLANDS SECURITIES CORP
J.P. TURNER & COMPANY, L.L.C.
MUTUAL OF NEW YORK
MUTUAL OF NEW YORK
MUTUAL OF NEW YORK
WADDELL & REED INC.
SANDS BROTHERS AND CO., LTD
AURA FINANCIAL SERVICES, INC.
AURA FINANCIAL SERVICES, INC.
AURA FINANCIAL SERVICES, INC.
AMERITAS INVESTMENT CORP.
AMERITAS INVESTMENT CORP.
TERRA NOVA TRADING LLC
H.J. MEYERS
EMERSON BENNETT AND ASSOCIATES
GREAT EASTERN SECURITIES, INC. (CRD 2061)
MURJEN
WESTMINSTER FINANCIAL SECURITIES, INC.
FIDELITY INVESTMENTS
HULL TRADING COMPANY
NIPHIX INVESTMENTS INC.
PENSION CONSULTANTS INC.
SCOTT & STRINGFELLOW, INC.
UBS PAINEWEBBER
UBS FINANCIAL SERVICES, INC.
CANARIM INVESTMENT CORPORATION LTD.
FIRST MIDWEST SECURITIES, INC.
FIRST MIDWEST SECURITIES,INC.
OCONNOR AND ASSOCIATES
TIAA-CREF
FIRST ALLIED SECURITIES
A.G. EDWARDS & SONS, INC.
J.W. BARCLAY
SALOMON GREY FINANCIAL CORPORATION
MORGAN STANLEY DW INC. (NOW MORGAN STANLEY & CO. INCORPORATED)
PRUDENTIAL SECURITIES INC.
PAULSON INVESTMENT COMPANY, INC.
GUNNALLEN FINANCIAL, INC.
RAIKE FINANCIAL GROUP, INC
BURLING BANK, CHICAGO, ILLINOIS
CREDIT SUISSE FIRST BOSTON SECURITIES CANADA INC.
MARINER FINANCIAL SERVICES
MARINER FINANCIAL SERVICES
FIDELITY BROKERAGE SERVICES INC.
BRIARCLIFF CAPITAL CORP.
FRANKLIN FINANCIAL SERVICES CORPORATION WAS MY SPONSORING BRKR/DLR.
YORKTON SECURITIES INC.
T. J. RANEY & SONS, INC. (BROKER/DEALER)
SHARE FINANCIAL SERVICES, INC.
UBS FINANCIAL SERVICES INC.
BRECEK & YOUNG ADVISORS
ROTHSCHILD INVESTMENT CORPORATION
FFP SECURITIES, INC.
DELTA TRUST INVESTMENTS, INC.
CREWS & ASSOCIATES
NONE
DREYFUS SERVICE CORPORATION
CHARLES SCHWAB & CO., INC.
OSCAR GRUSS & SON INCORPORATED
RBC DAIN RAUSCHER INC.
AMERICAN EXPRESS
SECURITIES CAPITAL CORPORATION
FIRST MONTAUK SECURTIES
TRIDENT PARTNERS
S.W. BACH & COMPANY
S.W. BACH
1ST GLOBAL CAPITAL CORP.
NMIS
NMIS
SELF EMPLOYED LAWYER
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
MORGAN STANLEY & CO. INCORPORATED
A.G. EDWARDS & SONS, INC.
MILESTONE GROUP MANAGEMENT, LLC
GAINES, BERLAND, INC.
JOSEPH STEVENS & COMPANY, INC.
EQ FINANCIAL CONSULTANTS, INC.
LORD ABBETT DISTRIBUTOR LLC
GUNNALLEN FINANCIAL INC.
GUNNALLEN
PRIMERICA INVESTMENTS, INC.
BENSON YORK GROUP INC.
ANDREW GARRETT INC
SECURITIES AMERICA, INC.
STATE FARM LIFE INSURANCE CO
SALOMON SMITH BARNEY
BERRY-SHINO SECURITIES
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
HARBOUR INVESTMENTS, INC.
CITIGROUP GLOBAL MARKETS
CITIGROUP GLOBAL MARKETS INC.
USB PAINE WEBBER
UBS FINANCIAL SERVICES INC.
SAN CLEMENTE SECURITIES, INC.
EDWARD JONES
S.W. BACH
TIAA-CREF
TIAA-CREF
TIAA-CREF
TIAA-CREF
EDWARD D. JONES
LADENBURG CAPITAL MANAGEMENT, INC.
LADENBURG CAPITAL MANAGEMENT, INC.
J.P. MORGAN SECURITIES INC.
N/A
PRUDENTIAL EQUITY GROUP, LLC ("PEG")
NONE
ARVEST ASSET MANAGEMENT
U.S. BANCORP INVESTMENTS, INC.
STRATEGIC ADVISERS
MURJEN FINANCIAL INC
MURJEN
TIAA-CREF
TIAA CREF
SEABOARD SECURITIES, INC
S.W. BACH
JASMINE, INC.
NOT APPLICABLE
SII INVESTMENTS
HIGHBURY CAPITAL INC
INNER TECHNOLOGIES CORPORATION
AMERIPRISE FINANCIAL SERVICES
SMITH BARNEY
CALTON & ASSOCIATES, INC.
WACHOVIA SECURITIES, LLC
LEGACY HARBOR
LEGACY HARBOR
ANDREW MCDONNELL & COMPANY
IMS SECURITIES, INC.
MERRILL LYNCH
MERRILL LYNCH PIERCE, FENNER, AND SMITH INC.
STEPHENS, INC.
STUART SECURITIES CORP.
SUMMIT BROKERAGE SERVICES INC
NOT APPLICABLE-NOT PRACTICING AS A CPA
UNEMPLOYED (FULL-TIME STUDENT AT FUQUA SCHOOL OF BUSINESS, DUKE UNIVERSITY).
DEUTSCHE BANK SECURITIES INC. ("DBSI")
JOHNSON TRADING
PACTUAL CAPITAL CORPORATION
41461
TIAA-CREF
TIAA-CREF
TIAA-CREF
TIAA-CREF
TIAA-CREF
CHESTNUT PETROLEUM, INC.
CHESTNUT PETROLEUM, INC.
PINNACLE PARTNERS FINANCIAL CORPORATION
TIAA-CREF
GENEVA SECURITIES
CITIGROUP GLOBAL MARKETS INC.
TIAA-CREF
NEW CASTLE FINANCIAL SERVICES, LLC
USAA GENERAL INDEMNITY COMPANY
GREAT EASTERN SECURITIES, INC (CRD# 2061)
TIAA-CREF
SELF-EMPLOYED
HUTTS FINANCIAL GROUP, INC.
HOLMES & ASSOCIATES INC (INDEPENDENT INSURANCE COMPANY)
ASSOCIATES FIRST CAPITAL
STEVENS & LEE
prncplProd
NOPROD
DIRECTINV
MTUALFND
NOPROD
OTHER
OTHER
DIRECTINV
DIRECTINV
OTHER
DIRECTINV
NOPROD
INSUR
OTHER
VARANNUT
NOPROD
OTHER
NOPROD
NOPROD
NOPROD
OTHER
MTUALFND
NOPROD
OTHER
EQUITOTC
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
NOPROD
DEBTASET
EQUITOTC
NOPROD
OTHER
NOPROD
OPTIONS
OTHER
OTHER
OPTIONS
OTHER
OTHER
OTHER
OTHER
OTHER
NOPROD
DEBTMUNI
NOPROD
NOPROD
EQUITOTC
OTHER
DEBTCORP
NOPROD
INSUR
NOPROD
INSUR
NOPROD
NOPROD
NOPROD
INSUR
DIRECTINV
EQUITLST
MTUALFND
MTUALFND
EQUITLST
OTHER
OTHER
NOPROD
EQUITOTC
EQUITLST
OTHER
NOPROD
OTHER
NOPROD
OTHER
MTUALFND
MTUALFND
COMODFUT
MTUALFND
NOPROD
NOPROD
EQUITOTC
MTUALFND
OTHER
EQUITLST
OTHER
OTHER
MTUALFND
MTUALFND
OTHER
EQUITLST
DIRECTINV
NOPROD
NOPROD
EQUITOTC
EQUITLST
MTUALFND
EQUITOTC
EQUITOTC
NOPROD
OTHER
OTHER
NOPROD
OTHER
EQUITOTC
DEBTCORP
NOPROD
VARANNUT
NOPROD
EQUITLST
EQUITLST
NOPROD
NOPROD
INSUR
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OPTIONS
MTUALFND
VARANNUT
OTHER
MTUALFND
NOPROD
OPTIONS
OTHER
EQUITOTC
EQUITLST
OTHER
NOPROD
MTUALFND
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OPTIONS
EQUITOTC
NOPROD
MTUALFND
DIRECTINV
DIRECTINV
DIRECTINV
OPTIONS
OPTIONS
NOPROD
OTHER
OTHER
NOPROD
OTHER
MTUALFND
NOPROD
EQUITOTC
EQUITLST
OTHER
NOPROD
OTHER
OTHER
NOPROD
NOPROD
OTHER
NOPROD
DEBTCORP
EQUITOTC
NOPROD
INSUR
OTHER
OTHER
OTHER
NOPROD
OTHER
NOPROD
NOPROD
MTUALFND
INSUR
OTHER
INSUR
NOPROD
NOPROD
OTHER
INSUR
OTHER
INSUR
EQUITOTC
NOPROD
OTHER
EQUITOTC
OTHER
OTHER
NOPROD
NOPROD
NOPROD
DRVTV
NOPROD
OTHER
NOPROD
DIRECTINV
OTHER
MTUALFND
DEBTMUNI
OTHER
EQUITOTC
MTUALFND
PENNST
NOPROD
EQUITLST
INSUR
INSUR
NOPROD
NOPROD
DEBTCORP
NOPROD
EQUITOTC
EQUITLST
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
OTHER
EQUITLST
INSNONA
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
EQUITOTC
NOPROD
NOPROD
NOPROD
OTHER
DEBTASET
OTHER
EQUITLST
EQUITOTC
EQUITOTC
NOPROD
EQUITOTC
NOPROD
NOPROD
DEBTCORP
MTUALFND
NOPROD
NOPROD
NOPROD
EQUITOTC
NOPROD
OPTIONS
OTHER
OTHER
NOPROD
NOPROD
NOPROD
NOPROD
EQUITLST
NOPROD
EQUITOTC
NOPROD
MTUALFND
NOPROD
INSUR
OPTIONS
NOPROD
NOPROD
DIRECTINV
DIRECTINV
NOPROD
NOPROD
COMODFUT
OTHER
OTHER
FUTFIN
NOPROD
NOPROD
DIRECTINV
EQUITLST
NOPROD
INSUR
VARANNUT
OTHER
COMODFUT
EQUITLST
OTHER
EQUITLST
NOPROD
OTHER
EQUITOTC
EQUITOTC
EQUITOTC
DEBTMUNI
OTHER
INSUR
INSUR
INSUR
VARANNUT
EQUITOTC
NOPROD
INSUR
NOPROD
DIRECTINV
EQUITLST
OTHER
NOPROD
INSUR
NOPROD
OTHER
OTHER
NOPROD
INSUR
NOPROD
EQUITOTC
NOPROD
NOPROD
NOPROD
NOPROD
VARANNUT
OTHER
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
NOPROD
OTHER
OTHER
CDMNYMKT
NOPROD
EQUITOTC
EQUITOTC
OTHER
OTHER
OTHER
DEBTGOVT
MTUALFND
NOPROD
OTHER
NOPROD
NOPROD
DIRECTINV
OTHER
OTHER
EQUITLST
NOPROD
INSUR
MTUALFND
NOPROD
MTUALFND
OPTIONS
NOPROD
NOPROD
NOPROD
DEBTMUNI
DIRECTINV
NOPROD
OTHER
OTHER
INSUR
DEBTMUNI
OTHER
EQUITLST
EQUITOTC
NOPROD
NOPROD
VARANNUT
NOPROD
NOPROD
OPTIONS
NOPROD
NOPROD
NOPROD
DEBTGOVT
CDMNYMKT
OTHER
OPTIONS
OPTIONS
INSNONA
INSNONA
OTHER
NOPROD
VARANNUT
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
NOPROD
EQUITOTC
OTHER
OTHER
NOPROD
NOPROD
NOPROD
EQUITOTC
DIRECTINV
NOPROD
NOPROD
OTHER
NOPROD
MTUALFND
MTUALFND
NOPROD
EQUITOTC
DEBTCORP
DIRECTINV
EQUITLST
NOPROD
NOPROD
OTHER
NOPROD
DEBTGOVT
OTHER
OTHER
OTHER
OTHER
NOPROD
OTHER
OTHER
NOPROD
DRVTV
NOPROD
OTHER
OTHER
COMODFUT
OTHER
MTUALFND
NOPROD
OTHER
NOPROD
OTHER
NOPROD
INSUR
INSUR
INSUR
INSUR
INSUR
INSUR
DIRECTINV
EQUITOTC
DIRECTINV
NOPROD
NOPROD
NOPROD
INSUR
NOPROD
NOPROD
NOPROD
MTUALFND
OTHER
MTUALFND
MTUALFND
INSUR
INSUR
NOPROD
OTHER
NOPROD
NOPROD
NOPROD
INSNONA
OTHER
NOPROD
NOPROD
OTHER
OPTIONS
OPTIONS
OTHER
EQUITLST
INTXOPT
OPTIONS
NOPROD
OTHER
DEBTMUNI
NOPROD
NOPROD
OTHER
NOPROD
NOPROD
DEBTMUNI
OPTIONS
NOPROD
EQUITOTC
EQUITLST
OTHER
OTHER
OTHER
OTHER
DIRECTINV
OTHER
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OPTIONS
MTUALFND
DIRECTINV
EQUITLST
NOPROD
OTHER
OTHER
OTHER
EQUITLST
NOPROD
EQUITLST
NOPROD
NOPROD
NOPROD
OTHER
EQUITLST
NOPROD
NOPROD
DEBTCORP
DEBTMUNI
EQUITLST
OTHER
NOPROD
OTHER
OPTIONS
NOPROD
NOPROD
MTUALFND
OPTIONS
OPTIONS
NOPROD
NOPROD
OTHER
NOPROD
OTHER
NOPROD
MTUALFND
OTHER
INSNONA
OTHER
NOPROD
NOPROD
OPTIONS
NOPROD
EQUITOTC
NOPROD
VARANNUT
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
OTHER
OTHER
OTHER
NOPROD
INSUR
DIRECTINV
MTUALFND
OTHER
NOPROD
EQUITLST
EQUITLST
NOPROD
OTHER
COMODOPT
EQUITOTC
MTUALFND
DEBTMUNI
DEBTMUNI
DEBTMUNI
EQUITLST
EQUITLST
NOPROD
NOPROD
EQUITLST
OPTIONS
NOPROD
NOPROD
NOPROD
OPTIONS
NOPROD
NOPROD
OTHER
NOPROD
EQUITLST
NOPROD
NOPROD
NOPROD
NOPROD
DEBTCORP
NOPROD
EQUITOTC
EQUITOTC
DIRECTINV
DIRECTINV
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
OTHER
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
EQUITLST
OTHER
NOPROD
NOPROD
NOPROD
INSUR
NOPROD
OTHER
NOPROD
DEBTMUNI
DEBTMUNI
DEBTMUNI
OTHER
NOPROD
EQUITLST
INSUR
NOPROD
NOPROD
OTHER
OTHER
OTHER
OPTIONS
NOPROD
NOPROD
NOPROD
OTHER
INSUR
OTHER
DEBTMUNI
EQUITOTC
NOPROD
NOPROD
MTUALFND
MTUALFND
EQUITOTC
EQUITOTC
DEBTCORP
OTHER
OTHER
OTHER
NOPROD
NOPROD
OTHER
NOPROD
NOPROD
NOPROD
INSUR
NOPROD
DEBTGOVT
NOPROD
NOPROD
NOPROD
EQUITOTC
NOPROD
EQUITLST
EQUITLST
EQUITOTC
MTUALFND
INVSTCON
OTHER
EQUITOTC
NOPROD
DIRECTINV
NOPROD
EQUITOTC
NOPROD
OTHER
DEBTCORP
OTHER
DEBTGOVT
DEBTMUNI
INSUR
OTHER
NOPROD
NOPROD
MTUALFND
EQUITOTC
OTHER
NOPROD
OTHER
OTHER
NOPROD
NOPROD
OTHER
OTHER
DIRECTINV
EQUITOTC
EQUITOTC
INVSTCON
DIRECTINV
EQUITOTC
NOPROD
EQUITLST
NOPROD
NOPROD
NOPROD
NOPROD
OPTIONS
INTXOPT
OPTIONS
OTHER
EQUITLST
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
INSUR
OTHER
OTHER
OTHER
OTHER
EQUITOTC
EQUITOTC
NOPROD
NOPROD
OTHER
OTHER
EQUITLST
NOPROD
CDMNYMKT
NOPROD
INSUR
INSUR
INSUR
VARANNUT
OTHER
OTHER
EQUITLST
OTHER
NOPROD
NOPROD
NOPROD
EQUITLST
NOPROD
OTHER
NOPROD
OPTIONS
DEBTGOVT
MTUALFND
INTXOPT
NOPROD
MTUALFND
VARANNUT
NOPROD
NOPROD
NOPROD
OTHER
DRVTV
VARANNUT
EQUITOTC
INSUR
EQUITOTC
NOPROD
DEBTCORP
INSUR
OTHER
NOPROD
EQUITOTC
OTHER
OTHER
OTHER
OTHER
NOPROD
NOPROD
OTHER
EQUITLST
MTUALFND
NOPROD
NOPROD
VARANNUT
NOPROD
NOPROD
INSUR
OTHER
EQUITLST
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
EQUITLST
OTHER
OTHER
EQUITLST
OTHER
NOPROD
NOPROD
NOPROD
NOPROD
NOPROD
EQUITLST
NOPROD
EQUITOTC
OTHER
NOPROD
NOPROD
MTUALFND
NOPROD
OTHER
MTUALFND
NOPROD
OTHER
NOPROD
NOPROD
INSUR
OTHER
EQUITOTC
NOPROD
OTHER
EQUITLST
NOPROD
INSUR
NOPROD
INSNONA
NOPROD
EQUITOTC
INSUR
INSUR
INSUR
INSUR
NOPROD
OTHER
EQUITOTC
NOPROD
NOPROD
NOPROD
NOPROD
PENNST
NOPROD
NOPROD
OTHER
EQUITLST
VARANNUT
INSUR
NOPROD
PENNST
EQUITOTC
DIRECTINV
CDMNYMKT
MTUALFND
OTHER
OTHER
NOPROD
NOPROD
NOPROD
VARANNUT
EQUITLST
EQUITLST
OTHER
OTHER
NOPROD
NOPROD
DEBTMUNI
VARANNUT
EQUITOTC
NOPROD
NOPROD
NOPROD
OTHER
OPTIONS
NOPROD
NOPROD
INSUR
INSUR
INSUR
VARANNUT
VARANNUT
OTHER
OTHER
OTHER
INSUR
OPTIONS
NOPROD
NOPROD
OTHER
INSUR
NOPROD
INSUR
NOPROD
NOPROD
INSUR
INSUR
INSUR
MTUALFND
OTHER
allgtns
FAILURE TO NOTIFY BROKER-DEALER OF OUTSIDE
BUSINESS ACTIVITIES.
THE CUSTOMER COMPLAINED ABOUT AN OPTION
TRANSACTION FOR LESS THAN $1000. WHICH WENT SOUR. THE
CUSTOMER THEN REFUSED TO PAY. I PAID AND SUBSEQUENTLY ADMITTED
THE MISTAKE OF THIS ACTION
UNSUITABLE TRADES IN TWO ACCOUNTS VIOLATED
EXCHANGE RULE 723
ALLEGATIONS WERE THAT RISKS WERE NOT
ADEQUATELY EXPLAINED TO CUSTOMER REGARDING SELLING OPTION IN
ACCOUNT, AND THAT DISCRETION WAS USED WITHOUT WRITTEN APPROVAL.
##################################################################################
THE COMMISSION'S ORDER ALLEGES VIOLATIONS OF FEDERAL SECURITIES LAWS IN CONNECTION WITH THE OFFER AND SALE
ACTED AS AN UNREGISTERED AGENT IN NEW JERSEY WHILE ASSOCIATED WITH INVESTORS SECURITY COMPANY, INC. BETWE
FREE RIDING AND WITHHOLDING INTERPRETATION OF ARTICLE III, SECTION 1 OF NASD RULES OF FAIR PRACTICE
VIOLATION OF THE FREE RULING AND WITHHOLDING
INTERPRETUTION OF ARTICLE III SECTION 1 OF NASD`S RULES OF FAIR
PRACTIVE
ALLEGED VIOLATIONS OF ARTICLE III, SECTION I
OF THE RULES OF FAIR PRACTICE IN THAT CALKINS INTENTIONALLY &
KNOWINGLY PROVIDED INACCURATE QUOTATIONS FOR TWO SECURITIES
HELD IN CUSTOMERS ACCOUNT.
ALLEGED SELLING SECURITIES WHICH WERE NOT REGISTERED AS REQUIRED BY SECTION 7 OF THE TEXAS SECURITIES ACT; AN
##################################################################################
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##################################################################################
ON 2/2/98 AN NOTICE OF INTENT TO INVOKE ADMINISTRATIVE SANCTIONS WAS FILED. THE ALLEGATIONS INVOLVE FAILURE
FAILURE TO PROPERLY SUPERVISE AN AGENCY
RELATIONSHIP
NO DAMAGES CLAIMS
SEE PREVIOUS FILINGS
ALLEGED VIOLATION OF MSRB RULE G-2 AND
ARTICLE III, SEC. 1 OF NASD RULES OF FAIR PRACTICE AS A RESULT
OF FAILING & NEGLECTING TO QUALIFY AS A MUNICIPAL SECURITIES
PRINCIPAL PURSUANT TO RULE G-3 OF THE MSRB.
USED INACCURATE INFORMATION AND MADE
UNSUITABLE RECOMMENDATIONS TO A PUBLIC CUSTOMER
##################################################################################
NON-PAYMENT OF RENEWAL FEE OF $250.
NASD REGLATION'S NOTICE STATED THAT IT WAS INVESTIGATING ALLEGED VIOLATIONS OF NASD CONDUCT RULES 2110 AND
PURSUANT TO NASD RULE 8320, REGISTRATION WITH NASD HAS BEEN REVOKED FOR FAILURE TO PAY FINE(S) AND OR/COST
NASD CONDUCT RULE 2110 - RESPONDENT BIEBEL ACTING ON BEHALF OF HIS MEMBER FIRM, CONDUCTED SECURITIES AND
##################################################################################
NASD RULES 2110, 2310- RESPONDENT RECOMMENDED SECURITIES TRANSACTIONS TO PUBLIC CUSTOMERS WITHOUT HAVI
OFFERED AND SOLD ZERO COUPON BONDS TO AN
INDIANA CITIZEN THREE MONTHS PRIOR TO MY REGISTRATION IN THAT
STATE.
DUE TO THE FELONY CONVICTIONS (NON-SECURITIES
RELATED), A HEARING WAS HELD TO DETERMINE WHETHER I COULD BE
ASSOCIATED WITH HYM FINANCIAL INC.
VIOLATIONS OF FIPS, CONTINUING EDUCATION AND
SUPERVISION VIOLATIONS.
##################################################################################
CHARGE I - OPENING CUSTOMER ACCOUNTS WITHOUT
AUTHORIZATION CHARGE II - UNAUTHORIZED TRADING
MY EMPLOYER, AS A BROKER/DEALER FAILED TO REGISTER WITH THE STATE OF FLORIDA
FAILURE TO RESPOND TO NASD ON TIMELY BASIS,
FAILURE TO MARK TRADES PROPERLY.
UNKNOWN. I DO NOT RECALL THIS MATTER. I AM AFRIMING THAT IT APPEARS ON THE NASD RECORD.
##################################################################################
##################################################################################
GLOBAL CAPITAL SECURITES INC. ACTING THROUGH
ME AS A GENERAL SECURITIES PRINCIPAL FIALED TO A. SUPERVISION
OVER ORDER TICKETS ENTERED BY A STATUTORILY DISQUALIFIED PERSON
AND B. SUBMIT A CORRECT MEMBERSHIP CONTINUANCE APPLICATION
(MC-400.)
##################################################################################
FAILURE TO ENFORCE FIRM'S WRITTEN SUPERVISORY PROCEDURES
##################################################################################
FAILURE TO DISCLOSE MATERIAL INFORMATION IN
CONNECTION WITH U-4 FOR REGISTRATION IN SEPTEMBER, 1987 AND ON
U-4 FOR REGISTRATION ON DECEMBER 8, 1989.
UNAUTHORIZED TRADING
##################################################################################
NET CAPITAL VIOLATIONS WHILE I WAS PRINCIPAL
OF J.F. LOWE & CO.
VIOLATION OF SEC RULE 15C3-1 AND NASD RULE 1017 - ERRONEOUS ACCOUNTING FOR COMMISSIONS RECEIVABLE AND FAI
MCL AND GARY FLATER WERE CENSURED AND FINED FOR LACK OF SUPERVISION WITH RESPECT TO A FORMER REGISTERED R
AS FINANCIAL OPERATIONS PRINCIPAL I FAILED TO
CLASSIFY AN ASSET CORRECTLY WHICH CAUSED THE FIRM GDN
SECURITIES LTD TO BE OUT OF CAPITAL FOR 1 MONTH
FAILURE TO REGISTER AS AN INVESTMENT ADVISOR
IN NORTH DAKOTA - FAILURE TO REGISTER INVESTMENT IN STATE OF
NORTH DAKOTA
VIOLATION OF ARTICLE III SECT 1&2 -
SUITABILITY & CONCENTRATION
FAILURE TO REPORT STATISTICAL AND SUMMARY INFORMATION REGARDING 7 CUSTOMERS COMPLAINTS PURSUANT TO CO
FAILED TO PAY BALANCE OF #30 1989 STATE OF
MICHIGAN 1989 RENEWAL FEE $15.
I WAS ACCUSED OF LACK OF SUPERVISION. A
BROKER WHO WAS EMPLOYED BY DAIN BOSWORTH MISAPPROPRIATED FUNDS.
##################################################################################
VIOLATION OF SCH C OF THE ASSOCIATIONS BY LAWS. ALLOWING A BROKER TO TRANSACT BUSINESS BEFORE HIS LICENSE W
##################################################################################
I SOLD BONDS IN THE STATE OF IOWA WITHOUT BEING REGISTERED. I AM NOT AWARE OF ANY ALLEGATIONS, CLAIMS OR DA
SELLING OF GOVERNMENT SECURITIES WITHOUT A SERIES 63 LICENCE AND WRITING A PERSONAL
CHECK TO A CUSTOMER FOR
A LOSS. VIOLATION OF SECTION 1-19F.
MR. SANFORD ACTED AS AN AGENT OF K.W. CHAMBERS & CO AT TIMES WHEN HE WAS NOT PROPERLY REGISTERED WITH TH
##################################################################################
MADE MATERIAL MISREPRESENTATIONS AND ACTED IN AN UNTRUSTWORTHY MANNER. THESE MISREPRESENTATIONS WERE
FAILURE TO REPORT WITHIN 30 DAYS THE OHIO ADMINISTRATIVE ACTION AND BY PROVIDING MATERIALLY INCORRECT, MIS
MISREPRESENTING OR CONCEALING A MATERIAL FACT IN ANY APPLICATION FOR LICENSE ON ANY FORM FILED WITH THE CO
FAILURE TO ACCURATELY ANSWER A QUESTION IN HIS LICENSE APPLICATIONS.
THE STATE OF SOUTH CAROLINA SECURITIES
DIVISION ISSUED AN ORDER OF DENIAL WITH REGARD TO MR. FRANCK`S
APPLICATION FOR REGISTRATION DUE TO HIS FAILURE TO RESPOND TO
THEIR REQUEST FOR ADDITIONAL INFORMATION WITHIN 30 DAYS.
I LEFT THE PACIFIC STOCK EXCHANCE WITHOUT NOTIFYING THE EXCHANGE THAT I WAS LEAVING. AT THE TIME, I WAS AN IN
FAILURE TO ADOPT & MAINTAIN WRITTEN
SUPERVISORY PROCEDURES FOR THE FIRM ELEMENT, CONTINUING
EDUCATION UNDER RULE 1120 AND RULE 2110
##################################################################################
TRIPP & CO., INC. CONTINUING EDUCATION PROGRAM FOR 2005 AND 2006 FAILED TO FULLY COMPLY WITH THE FIRM ELEM
FAILURE TO EXERCISE SUPERVISION OVER THE
SALESMEN OF MICHELIN & CO. AS OPERATIONS MANAGER
VIOLATION OF NASD MEMBERSHIP AND REGISTRATION RULE 1021(A) AND NASD CONDUCT RULE 2110
##################################################################################
DISMISSAL FROM DEAN WITTER-UNAUTHORIZED
TRADING
NOTICE OF INTENT TO DENY APPLICATION FOR
REGISTRATION
DENIAL OF REGISTRATION BY STATE OF ALABAMA
6/29/94 - PRIOR FELONY CONVICTION
I ANSWERED A QUESTION INCORRECTLY BECAUSE I BELIEVED IT RELATED ONLY TO "INVESTMENT RELATED" ISSUES
##################################################################################
##################################################################################
ALLEGATIONS RELATED TO THE INADVERTENT LAPSE OF INSURANCE LICENSE AND THE SALE OF CERTAIN INSURANCE PRODUC
ALLEGEDLY A PREVIOUS FINE WAS NOT DISCLOSED TO THE STATE OF NEW YORK INSURANCE DEPARTMENT ON LICENSE RENE
THE DBCC ALLEGED THAT I EXERCISED DISCRETION
GRANTED PURSUANT TO ORAL AUTHORIZATION FROM THE CUSTOMER
WITHOUT OBTAINING PRIOR WRITTEN DISCRETIONARY AUTHORIZATION
FROM THE CUSTOMER AND WITHOUT WRITTEN ACCEPTANCE OF SUCH
ACCOUNT BY SBHU.
ON 11/21/90 THE MASS. SECT`S DIV. ENTERED
INTO AN ADMIN PROCEEDING AGAINST THE STUART-JAMES CO. ALL
PERSONS LISTED ON THE B-D, CONSISTING OF A TEMPORARY SUSPENSION
OF ALL NAMED ON BD AND A TEMPORARY CEASE AND DESIST.
ALLEGED VIOLTATIONS OF SECTION 27 ART III OF
THE RULES OF FAIR PRACTICE. FAILURE TO SUPERVISE
THE DEPARTMENT ISSUED AN ADMINISTRATIVE
COMPLAINT FOR ALLEGED VIOLATIONS OF CHAPTER 517 OF FLORIDA
STAUTES.
##################################################################################
FAILURE TO SUPERVISE SALES ACTIVITIES OF
FRANK E SPARKS.
ALLEGED VIOLATIONS OF THE FOLLOWING RULES IN CONECTION WITH THE NASD'S ROUTINE EXAMINATIONS OF THE FIRM C
FALSELY AND FRAUDULENTY OVERCHARGED COMPLAINANT $10,721.10 AS PREMIUM COSTS FOR THEIR INSURANCE AND CO
ALLEDGED RR RECOMMENDED UNSUITABLE INVESTMENTS FOR CLIENTS.
IT WAS ALLEGED THAT MR. VAVRUSKA TRANSACTED BUSINESS IN VERMONT WHILE ACTING AS A SALES REP WITHOUT BEING
THAT A SO CALLED HOT ISSUE HAD BEEN BAUGHT IN
THE ACCOUNT OF A FORMER BOETTCHER & CO INC. EMPLOYEE, WHO IS
NOW EMPLOYED BY ANOTHER SECURITIES FIRM.
VIOLATIONS OF ARTICLE III, SECTIONS 1, 21 &
27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE. THOMAS N. MCCAIN
FAILED TO MAINTAIN ACCURATE INFORMATION ON BOTH CUSTOMER'S
ACCOUNT FORMS.
INVESTIGATION OF POSSIBLE VIOLATION OF THE NASD CONDUCT RULES 2110, 2310(A), AND 2510(B)
REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION PURSUANT
TO SECTION 8.E(1)(J) OF THE ACT
IN LIGHT OF SUSPENSION BY NASD.
FAILING TO MAITAIN ADEQUATE BOOKS & RECORDS, JOURNAL LEDGERS, CASH RECONSILATION MONTHLY COMPUTATIONS O
THE BANK ACCOUNT ESTABLISHED FOR A PRIVATE
PLACEMENT PRIOR TO IMPOUND WAS NOT A PROPER ESCROW ACCOUNT.
ALLEGED FAILURE TO CHECK FOR BEST EXECUTION
AND TO NOTE QUOTES OR CUSTOMER ORDER TICKETS.
SUPERVISING AN EMPLOYEE WITHOUT HOLDING A
PRINCIPALS LICENSE AND THE EMPLOYING FIRM WAS SOUTHTRUST
SECURITIES INC.
CONDUCTING SECURITIES BUSINESS WITH 2 KANSAS
RESIDENTS WITHOUT REGISTRATION AS A REPRESENTATIVE.
LACK OF CERTAIN WRITTEN PROCEDURES AND
CONTINUING EDUCATION EVALUATION AND TRAINING NEEDS.
Not Provided
I SHARED COMMISSIONS WITH A NONLICENSED
REPRESENTATIVE.
##################################################################################
MARKETING W/O ADEQUATE LICENSING
##################################################################################
##################################################################################
##################################################################################
ALLEGED THAT BUSINESS WAS TRANSACTED IN THE STATE OF VIRGINIA AS AN UNREGISTERED INVESTMENT ADVISOR
THAT THE "...LICENSEE MISREPRESENTED THE
TERMS OF A POLICY TO BE ISSUED AND ADDITIONALLY, ISSUED A
WRITTEN STATEMENT CONTAINING MISLEADING ESTIMATES OF THE
DIVIDENDS TO BE RECEIVED BY THE CONSUMER..." IN VIOLATION OF
STATE STATUTES.
SIGNING THE NAMES OF HIS CUSTOMERS TO DOCUMENTS WITHOUT PRIOR EXPRESS WRITTEN AUTHORIZATION AS PRESCRIB
ALLEGE REP WAS NOT REGISTERED AS AN
INVESTMENT ADVISOR IN THE STATE OF MISSOURI
MURPHY FINANCIAL ADVISORS INC. AND JESS DEAN MURPHY RENDERED ADVISORY SERVICES IN TEXAS WITHOUT BEING REG
CONDUCTED BUSINESS IN STATE OF MICHIGAN BEFORE BECOMING REGISTERED REPRESENTATIVE IN MICHIGAN. BUSINESS W
##################################################################################
1) EXERCISING DISCRETION IN A CLIENT'S
ACCOUNT WITHOUT OBTAINING PRIOR WRITTEN AUTHORIZATION FROM THE
CLIENT.
2) FAILURE TO BRING A CUSTOMER COMPLAINT LETTER TO THE
ATTENTION OF MY BRANCH MANAGER IN A PROMPT FASHION.
THERE WAS SOME PAPERWORK THAT WAS LOST SO THE STATE ORDERED A CEASE AND DESIST.
THE STATE OF MICHIGAN ALLEGED THAT WARREN &
BROWN & MYSELF CONDUCTED UNREGISTERED BUSINESS IN THE STATE OF
MICHIGAN. WARREN & BROWN AND MYSELF WERE NOT LICENSED TO DO
BUSINESS IN THE STATE OF MICHIGAN.
WARREN & BROWN & CERTAIN INDIVIDUALS WERE NOT
LICENSED TO DUE BUSINESS IN THE STATE OF IDAHO UPON BECOMING
LICENSED WARREN & BROWN AND CERTAIN INDIVIDUALS AGREED TO A SIX
M0NTH SUSPENSION & W & B IS FINED 3000.00 & EACH INDIVIDUAL
300.00.
##################################################################################
##################################################################################
FAILURE TO ESTTABLISH AND MAINTAIN SUPERVISORY PROCEDURES
FAILURE TO SUPERVISE
OFFERING AND SALE OF NON-REGISTERED AND
NON-EXEMPT SECURITIES TO CUSTOMERS OF SOURCE IN WISCONSIN,
CORPORATE PROMISSORY NOTES OF NCI AT THE DIRECTION OF JERALD
NEWMAN DURING THE PERIOD FROM OCTOBER 1, 1983 TO OCTOBER 30,
1984.
##################################################################################
THE NOTICE ALLEGED THAT I FAILED TO
ADEQUATELY CONSIDER THE INVESTMENTS TO TWO CLIENTS OF
SOUTHMARK.
FAILURE TO DISCLOSE ARREST RECORD ON AGENT APPLICATION
##################################################################################
JOHNSON WAS NOT REGISTERED AS A SALESPERSON
IN THE STATE OF IL FOR THE PURPOSE OF SELLING STOCK AND OTHER
GENERAL SECURITIES DURING THE TIME THAT SHE CONDUCTED THE
ACTIVITIES, VIOLATING IL STATE SECURITIES ACT
##################################################################################
ALLEGED VIOLATION OF ARTICLE III SECTION 1 OF
THE ASSOCIATIONS RULES OF FAIR PRACTICE
##################################################################################
##################################################################################
##################################################################################
FAILURE TO REASONABLY SUPERVISE REPRESENTATIVES RELATED TO MUTUAL FUND MARKET TIMING. FAILURE, AS CEO OF S
##################################################################################
##################################################################################
(1) THAT I APPROVED PROMOTIONAL MATERIAL THAT
WAS DEEMED TO BE MISLEADING, (2) THAT I FAILED TO FILE CERTAIN
SALES LITERATURE.
ON 4/25/88 THE STATE OF FLORIDA DENIED THE REGISTRATION APPLICATIONS OF RJO SECURITIES INC. AND GEORGE H. ROH
APPLICANT AND THREE FORMER OFFICERS WERE
NAMED AS RESPONDENTS IN AN ADMINISTRATIVE PROCEEDING ALLEGING
VIOLATION OF AN INTERPRETATION CONCERNING "FREE-RIDING AND
WITHHOLDING".
VIOLATION OF ARTICLE III, SECTION 1 AND 40 OF
THE ASSOCIATION'S RULES OF FAIR PRACTICE
NO DAMAGES. NO CLIENT INVOLVED. ALLEGED I
HAD A JOINT ACCOUNT WITH AN EMPLOYEE.
MISREPRESENTATION AND UNSUITABILITY OF KEMPER
INTERMEDIATE GOVERNMENT TRUST
THE AFOREMENTIONED SRO ALLEGED THIS REPRESENTATIVE VIOLATED NASD CONDUCT RULES 2110, 3010(A), AND 3010(B)R
##################################################################################
VIOLATIONS OF ARTICLE III SECTION 1 OF THE
RULES OF FAIR PRACTICE IN THAT RESPONDENT CONE FAILED TO HONOR
ARBITRATION AWARD OF $48,290.14.
THE ORDER INSTITUTING PROCEEDINGS ALLEGES THAT MR.OKIN FAILED TO REASONABLY SUPERVISE CERTAIN REGISTERED R
NONE
##################################################################################
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##################################################################################
FAILURE TO RENEW LICENSE
##################################################################################
VIOLATION OF ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE BY PARTICIPATING IN PURCHASE AND
##################################################################################
I FAILED TO COMPLETE CLE REQUIREMENTS - PAY ANNUAL CLE FEE PRIOR TO DEADLINE.
THE ARIZONA SECURITIES DIV. ALLEGED THAT I
MISREPRESENTED AND OMITTED MATERIAL FACTS IN THE SALE OF
SECURITIES, THAT I WAS NOT OF GOOD BUSINESS REPUTE AND NOT
QUALIFIED TO SELL SECURITIES IN AZ.
ALLEGED THAT FLORIDA SECURITIES LAWS HAD BEEN
VIOLATED BECAUSE THE ARIZONA SECURITIES LAWS WERE VIOLATED AND
ARIZONA REVOKED AGENTS LICENSE
STATE OF ILLINOIS SECURITIES DEPARTMENT
WANTED TO HOLD A HEARING TO SEEK REVOCATION OR SUSPENSION OF
RESPONDENTS REGISTRATION BECAUSE OF THE ARIZONA REVOCATION ON
5/2/91.
##################################################################################
RESPONDENT MEMBER, ACTING THROUGH JOHN HSU, FAILED TO REPORT STATISTICAL AND SUMMARY INFORMATION REGA
FOR THE PERIODS 1/27/99 - 1/29/99, AND 11/23/99 - 12/7/99, PYRAMID FINANCIAL CORPORATION, ACTING THROUGH JOH
##################################################################################
##################################################################################
* FAILURE TO DISCUSS BREAKPOINTS ON MUTUAL
FUNDS
##################################################################################
VIOLATION OF ARTICLE III, SECTION 1 & 40 OF
THE ASSOCIATION'S RULES OF FAIR PRACTICE - REFER TO ADDITIONAL
DRP TO QUESTION 22H(1).
##################################################################################
FAILURE TO SUPERVISE REPRESENTATIVE DANIEL BARRETT IN SALE OF STOCK IN OXFORD REPRESENTATIVES GROUP, INC.
##################################################################################
##################################################################################
THIS WAS A 6 CAUSE COMPLAINT AGAINST FGSI AND
ITS PRINCIPALS. AS FINOP, I WAS NAMED IN ALL 6 CAUSES. THESE
INCLUDED INFAIR MARKUPS , UNFAIR COMMISSIONS, VIOLATING (2)
RESTRICTION AGREEMENT OPERATING ILLEGAL BRANCH & RECORD KEEPING
VIOLATION.
THE ALLEGED VIOLATION WAS A SALE OF A "HOT
ISSUE" TO A RESTRICTED PERSON IN CONTRAVENTION OF THE NASD FREE
RIDING AND WITHHOLDING INTERPRETATION. SPECIFICALLY, THE SALE
OF 1000 SHARES OF PORTSMOUTH ON FEBRUARY 9, 1988 WAS ALLEGED.
FAILURE TO SUPERVISE FORMER REGISTERED REPRESENTATIVE
FAILED TO FILE ANNUALS REPORTS REQUIRED UNDER KENTUCKY VIATICAL INSURANCE STATUES
AS PRES. OF JP INDUSTRIES, INC.; OFFER AND
SALE OF UNREG'D SECURITIES: OMITTING MATERIAL FACTS IN OFFER
AND SALE OF SECURITIES; NOT REG'D AS A BD IN MI: EMPLOYING
UNREG'D AGENTS
##################################################################################
FAILURE OF MEMBER TO COMPLY WITH SEC RULE 15C
3-1 AND FAILURE TO COMPLY WITH TERMS OF RESTRICTIVE AGREEMENT
##################################################################################
ALLEGED TO HAVE VIOLATED NASD FREE RIDING AND
WITHHOLDING INTERPRETATION IN THE SALE OF SHARES OF ARTISOFT TO
A RESTRICTED PERSON.
##################################################################################
BASED ON MR. BOGART'S DISCIPLINARY HISTORY, HE AND FBW, THE BROKER/DEALER AND INVESTMENT ADVISOR FIMR AGR
THE MARYLAND DIVISION OF SECURITIES REVIEWED MR. BOGART'S CRD RECORDS AND IMPOSED AN ORDER GRANTING CON
##################################################################################
##################################################################################
##################################################################################
VIOLATION OF ARTICLE 111 SECTION 1 OR ASSOC.
RULES OF FAIR PRACTICE.
INVOLVED IN ALTERING 15 INDIVIDUAL DISABILITY CONTRACTS
* I WAS RESPONSIBLE FOR IMPROPERLY WITHHOLDING
MONIES BELONGING TO A POLICYHOLDER; AND AFFIXING MY SIGNATURE TO
APPLICATIONS AS HAVING WITNESSED THE COMPLETION AND SIGNING OF
THE APPLICATIONS WHEN IN FACT I HAD NOT.
SEE SUMMARY
REPRESENTATIVE LEE SHOULD HAVE CHECKED HIS OWN RECORD TO DETERMINED THAT HE WAS NOT REGISTERED IN WASHI
AS A SERIES #53 MUNICIPAL PRINCIPAL AT WJ
NOLAN & CO INC I WAS CHARGED WITH EXCESSIVE MARKUPS ON 33
MUNICIPAL BOND TRANSACTION. AS PRINCIPALS DURING A PERIOD OF
10/3/94 THROUGH 11/15/94.
THAT I HAD EFFECTED UNAUTHORIZED TRANSACTIONS
ON BEHALF OF A NON-DISCRETIONARY CUSTOMER ACCOUNT.
FAILED TO ESTABLISH AND MAINTAIN A SYSTEM TO SUPERVISE A REGISTERED REPRESENTATIVE'S ACTIVITIES THAT WAS REAS
##################################################################################
##################################################################################
THAT I WAS ACTING AS TRADING MANAGER AT J.J.
KENNEDY DRAKE, INC. AND I WAS NOT REGISTERED WITH THE NASD AS A
MUNICIPAL PRINCIPAL.
PIERCE AND COMPANY, CAROL BERBERICH AND I PREPARED INACCURATE NET CAPITAL
COMPUTATIONS, DIDN'T COMPLY
WITH NET CAPITAL RULES AND ENGAGED IN TRANSACTIONS WHEN IN
VIOLATION OF NET CAPITAL REQUIREMENTS.
SEE SUMMARY
FAILED TO DISCLOSE THE ACTIVITY TO THE NASD MEMBER BROKER-DEALER IN REGARDS TO THE OFFER AND SALE OF FRACTIO
LIMITED PARTNERSHIP UNITS WERE SOLD TO TEXAS RESIDENTS THAT WERE NOT REGISTERED
##################################################################################
##################################################################################
FAILURE TO COMPLY WITH NET CAPITAL UNFAIR
PRICES
VIOLATION OF NASD CONDUCT RULES 2110 AND
2330(F)
##################################################################################
THE PUBLIC SERVICE COMMISSION OF THE DISTRICT
OF COLUMBIA DETERMINED THAT REGISTERED REPRESENTATIVE MARK
PRINCE EXECUTED SEVEN (7) TRADES FOR ONE CLIENT IN THE DISTRICT
OF COLUMBIA WHILE NOT LICENSED WITH THE COMMISSION AS AN
AGENT.
##################################################################################
##################################################################################
##################################################################################
REGISTRATION REVOKED FOR FAILURE TO PAY
RENEWAL FEES
##################################################################################
##################################################################################
##################################################################################
FAILED TO ADEQUATELY SUPERVISE A LICENSED REPRESENTATIVE
CONDUCTED SECURITIES BUSINESS FROM AN UNREGISTERED BRANCH
I HAD ALLEGEDLY VIOLATED MY FIRM'S RESTRICTIVE AGREEMENT ORIGINALLY SIGNED IN 1996 BY HIRING MORE PEOPLE AND
THAT ON OR BEFORE SEPT. 30, 1994 MY COMPANY OPERATED WHILE UNDER NET CAPITAL FOR THAT DAY.
##################################################################################
DENIED REGISTRATION IN THE STATE OF FLORIDA.
DENIAL BASED ON DISCIPLINARY HISTORY OF POWELL & SATTERFIELD,
INC. AS OF 10/23/92 DENIAL HASD BEEN REVOKED.
NET CAPITAL VIOLATION
MASSACHUSETTS SECURITIES DIVISION ISSUED AN
ADMINISTRATIVE PROCEEDING AGAINST APPLICANT ALLEGING THAT A
MISLEADING DOCUMENT WAS FILED IN CONNECTION WITH IT'S
APPLICATION FOR REGISTRATION.
##################################################################################
GREENWOOD OFFERED FOR SALE AND SOLD
SECURITIES FROM GEORGIA AT A TIME WHEN HE WAS NOT REGISTERED
WITH THE COMMISSIONER TO OFFER AND SELL SECURITIES FROM
GEORGIA. CONSEQUENTLY, GREENWOOD VIOLATED O.C.G.A. SECTION
10-5-3 (A) AND SECTION 10-5-12 (A).
I OFFERED FOR SALE AND SOLD SECURITIES PRIOR
TO MY REGISTRATION WITH THE COMMISSIONER AS REQUIRED BY
O.C.G.A. SECTION 10-5-3 AND I THEREFORE VIOLATED O.C.G.A.
SECTION 10-5-3.
SALE OF UNREGISTERED SECURITIES (CENSURED)
SALE OF DPP'S TO UNSUITABLE INVESTORS (ACQUITTED)
NOT KEEPING RECORDS OF CUSTOMERS COMPLAINTS (ACQUITTED)
DIRECTING COMMISSION DOLLARS TO UNREGISTERED PERSONS.
(ACQUITTED)
STATE OF FLORIDA APPROVED APPLICATION FOR
ASSOCIATE PERSON OF PAINE WEBBER SUSSEQUENT TO AGREEMENT
LETTER.
VIOLATION OF ARTIVLE III SECTIONS 1,2,& 35 OF
THE RULES OF FAIR PRACTICE. NAMELY INACCURATE AND MISLEADING
CORRESPONDENCE TO CUSTOMERS AS WELL AS IMPROPER ADVERTISING AND
REPRESENTATIONS.
AFTER A ROUTINE BRANCH AUDIT, IT WAS FOUND THAT A CLIENT OF MINE WAS A RESTRICTED PERSON AND HAD PURCHASE
APPROXIMATELY 8-10 YEARS AGO STATE BOARD OF CERTIFIED PUBLIC ACCOUNTANTS OF LOUISIANA BROUGHT ADMINISTRA
##################################################################################
LACK OF WRITTEN DISCRETIONARY AUTHORITY.
TRANSACTING BUSINESS WHILE NOT LICENSED.
SEE QUESTION #9 BELOW
##################################################################################
FAILURE TO TIMELY COMPLETE REGULATORY ELEMENT OF CONTINUING EDUCATION, RULE 1120
FAILURE TO PAY FINE LEVIED IN 90-D-05 AS
PRESCRIBED
##################################################################################
DURING QUARTERS ENDING 9/30/94, 12/31/94
SPELMAN ACTING THROUGH ME FAILED TO FILE MSRB FORM G-37 IN A
TIMELY MANNER, THIS CONSTITUTES A VIOLATION OF CONDUCT RULE
G-37
FAILED TO REASONABLY SUPERVISE A FORMER REGISTERED REPRESENTATIVE.
IT WAS ALLEGED THAT IN 1989 I DID NOT
DISCLOSE TO MY EMPLOYER, SHEARSON LEHMAN HUTTON INC.
("SHEARSON") THAT I MAINTAINED A SECURITIES ACCOUNT IN WHICH I
HAD A BENEFICIAL INTEREST.
##################################################################################
RESPONDENT'S SALESPERSON REGISTRATION IN THE STATE OF ILLINOIS IS SUBJECT TO PROHIBITION PURSUANT TO SECTION
FAILURE TO ADOPT AND/OR ENFORCE WRITTEN POLICY & PROCEDURES FOR CONTINUING EDUCATION - THE FIRM ELEMENT
SIC ENGAGED IN A DISHONEST OR UNETHICAL
PRACTICE.
THE STATE OF KANSAS, COMMISSIONER OF
SECURITIES, HAS ENTERED A NOTICE OF INTENT TO INVOKE
ADMINISTRATIVE SANCTIONS UNDER THE KANSAS SECURITIES ACT
AGAINST GREG CHINN. THE EFFECTIVE DATE OF THIS NOTICE IS APRIL
14, 1994.
VIOLATION OF RULES G-17, G-19 MSRB SALE OF
$5,000 MUNICIPAL BOND
FAILURE TO COMPLY WITH SEC RULE 15C3-1
FAILING TO APPLY A CONTRACTUAL COMMITMENT HAIRCUT
THE FIRM FAILED TO MAINTAIN ADEQUATE RECORDS
DOCUMENTING THE 'FIRM ELEMENT' COMPONENT OF THE CONTINUING
EDUCATION REQUIREMENT FOR PERIODS 1/96-12/96. VIOLATION OF
MEMBERSHIP RULE 1120(b) AND CONDUCT RULE 2110.
##################################################################################
FAILURE TO REASONABLY SUPERVISE REPRESENTATIVES RELATED TO MUTUAL FUND MARKET TIMING.
##################################################################################
VIOLATED NASD CONDUCT RULE 2110.
##################################################################################
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COMPLAINT ALLEGED THAT AS BOM/ROP I FAILED TO EXERCISE DUE DILIGENCE IN APPROVING AN ACCOUNT.
##################################################################################
ACTED IN THE CAPACITY OF SECURITIES
REPRESENTATIVE WITHOUT LAWFUL REGISTRA- TION WITH MSRB OR STATE
OF FLORIDA.
##################################################################################
NAMED AS PRINCIPAL & A RESPONDENT FOR DINA
SECURITIES INC, A LETTER OF ACCEPTANCE WAIVER & CONSENT (NO C
10980133)
06-02-00, NASD RULES 2110 AND 3010(A) - RESPONDENT FAILED TO ADEQUATELY SUPERVISE THE ACTIVITIES OF HIS FIRM'S F
THIS HAD TO DO WITH THE SALE OF "PRIVATE
OFFERINGS" OF OIL AND GAS INVESTMENTS
SEE ATTACHED NASD REPORT
RESPONDENT ALLEGED TO LACK GOOD BUSINESS REPUTE.
##################################################################################
THE COMMISSIONER ISSUED AN ORDER OF SHOW CAUSE FOR AGENT REGISTRATION REVOCATION BASED UPON FILING WITH
THE STATE OF WISCONSIN WOULD ONLY APPROVE
REGISTRATION IF AN ORDER IMPOSING CONDITIONS IN CONNECTION WITH
THE ISSUANCE OF A SECURITIES AGENT LICENSE WAS AGREED TO.
FAILURE TO COMPLY WITH ARTICLE III, SECTION 1
& 4 OF THE ASSOCIATIONS RULES OF FAIR PRACTICE
IT WAS ALLEGED THAT DURING THE TIME PERIOD FROM 1997 TO 1999, TAGLICH BROTHERS FAILED TO ENSURE THAT THE CO
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ALLEGATIONS OF ENGAGING IN CONDUCT
INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY
SUBMITTING 11 INACCURATE EMPLOYEE EXPENSE REPORTS OVER A
THREE-YEAR PERIOD.
ACTION BROUGHT BECAUSE OF QUILTY PLEA TO MISDEMEANOR COUTRS BROUGHT BY FEDERAL GOVERNMNET - DISCLOSED
THE NASD FOUND THAT ESSEX NATIONAL SECURITIES, INC., ACTING THROUGH ME AS A REGISTERED PRINCIPAL, RECEIVED PA
VIOLATION OF MSRB RULE G-37 (C)
##################################################################################
THAT MR. ASHWOOD VIOLATED EXCHANGE RULE
721(A), 723 IN THAT HE ENTERED ORDERS IN HIS PERSONAL ACCOUNT,
AND MADE MISSTATEMENTS TO HIS MEMBER ORGANIZATION.
##################################################################################
CBOE RULE 3.3, 3.6, 4.1, 4.2, 4.6, 8.9(C),
8.10
##################################################################################
ALLEGED THAT MY FORMER FIRM EGS SECURITIES
CORP, ACTING THROUGH ME, VIOLATED NASD MEMBERSHIP AND
REGISTRATION RULE 1014(F), 1M-2110-1 TO NASD CONDUCT RULE 2110
AND CONDUCT RULE 3010 (b) AND ALSO VIOLATED NASD CONDUCT RULE
2110.
##################################################################################
WHILE PREVIOUSLY APPLYING FOR REGISTRATION
WITH A PRIOR FIRM, I FAILED TO DISCLOSE THE FILING OF A
BANKRUPTCY PETITION.
FAILURE TO EXERCISE DILIGENT SUPERVISION OVER
SECURITIES ACTIVITIES OF AGENTS. FAILED TO ESTABLISH
PROCEDURES WHICH WOULD PREVENT AND DETECT VIOLATIONS. NO
ACTUAL OR ALLEGED DAMAGES OR CLAIMS.
RIA WAS REGISTERED WITH THE SEC BUT NOT IN
THE STATE OF TEXAS. WE HAVE BEEN GRANTED THE STATE
REGISTRATION.
ALLEGATIONS: VIOLATION OF ARTICLE III,
SECTION 1 OF THE RULES OF FAIR PRACTICE
FAILURE TO MAINTAIN PROPER SUPRVISORY SYSTEM
##################################################################################
ALLEGES VIOLATION OF INDIANA CODE 23-2-1-11(A)(6) AND 710 INDIANA ADMINISTRATIVE CODE 1-17-22(X)
PLACING CUSTOMER CHECK TEMPORARILY INTO PERSONAL ACCT PRIOR TO SENDING TO THE ISSUEING COMPANY.
##################################################################################
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VIOLATINS OF ARTICLE III, SECTIONS 1 & 4 OF
THE ASSOCIATION'S RULES OF FAIR PRACTICE.
ALLEGATIONS ARE THAT ON TWO OCCASIONS, RESPONDENT KNOWINGLY PROVIDED A FALSE ANSWER ON THE RENEWAL AP
ALLEGATION IS ALTERATION OF A VARIABLE ANNUITY APPLICATION AND FAILURE TO LEAVE A COPY OF THE NOTICE REGARDI
THE ALLEGATION IS FAILURE TO DISCLOSE AN ADMINISTRATIVE MATTER.
NO ALLEGATIONSBASED ON DISCIPLINARY ACTION HISTORY, A SPECIAL SUPERVISION ORDER WAS IMPOSED FOR 12 MONTHS
REPORTED ADMINISTRATIVE ACTION MORE THAN 15 DAYS FROM THE DATE OF ITS DISPOSITION
NO ALLEGATIONS.
##################################################################################
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THE ONLY ALLEGATIONS WERE THAT I SOLICITED
THE INVESTMENT RELATIONSHIP IN A STATE THAT I WAS NOT
REGISTERED IN. NO SECURITIES WERE EVER PURCHASED OR
RECOMMENDED.
FROM ON OR ABOUT JANUARY 1, 2003 TO ON OR ABOUT MARCH 30, 2004, KEVIN CALANDRO PROVIDED INVESTMENT ADVIS
##################################################################################
THE ALLEGATION WAS THAT I SOLD SECURITIES TO
ONE RESIDENT OF THE STATE OF HAWAII PRIOR TO BEING REGISTERED
IN THE STATE.
SUBMITTED AND EXECUTED TWO ANNUITY CONTRACTS
DURING A PERIOD WHEN INSURANCE LICENSE HAD BEEN REVOKED.
IT IS ALLEGED THAT I VIOLATED ARTICLE III,
SECTION I OF THE NASD'S RULES OF FAIR PRACTICE.
7a. What is the product? PAINEWEBBER ADVANTAGE ANNUITY
A VIOLATION OF THE PRIVATE SECURITIES RULES
CEASE AND DESIST ORDER SELLING UNREGISTERED NON EXEMPT SECURITIES.
NEW YORK INSURANCE DEPARTMENT INVESTIGATION OF FAILURE TO GIVE AN AFFIRMATIVE ANSWER TO THE IRREGULARITY
##################################################################################
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ON 10/30/91 THE STATE OF FLORIDA APPROVED
SUBJECT INDIVIDUAL AS AN ASSOCIATED PERSON OF EDWARD D. JONES &
CO., PURSUANT TO AN AGREEMENT
THE ALLEGATIONS WERE NOT AGAINST ME BUT A
REG. REPRESENTATIVE. BECAUSE I WAS ONE OF TWO GENERAL
SECURITIES PRINCIPALS I WAS CITED FOR MINOR SUPERVISORY
VIOLATIONS PERTAINING TO THE REGISTERED OPTION PRINCIPAL (ROP).
SEE #12 BELOW.
FAILURE TO EVALUATE AND PRIORITIZE TRAINING
NEEDS AND DEVELOP A WRITTEN TRAINING PLAN TO ADMINISTER FIRM
ELEMENT OF CONTINUING EDUCATION REQUIREMENTS IN 1996 AND 1997.
TECHNICAL VIOLATION OF SEC RULE 15C3-1 AS OF
JUNE 30, 1994
TECHNICAL VIOLATION OF SEC RULE 15C3-1 AS OF
OCTOBER 31, 1994
REPRESENTATIVE FAILED TO ADEQUATELY SUPERVISE.
THE EXCHANGE ALLEGED THAT I, AT THE DIRECTION
OF MY SUPERVISOR, ALTERED THE EXECUTION PRICE OF CERTAIN TRADES
TO THE DETERIMENT OF CUSTOMERS. THE FAVORABLE DIFFERENCES WERE
ASSIGNED TO A FIRM TRADING ERROR ACCOUNT.
SALES OF SECURITIES IN EXCESS OF AMOUNT ALLOWED UNDER EXEMPETIONS AND UTILIZED PRINT AND INTERNET ADVERTIS
NASD RULE 2110 - RESPONDENT, ACTING ON BEHALF OF HIS MEMBER FIRM, ENGAGED IN A SECURITIES BUSINESS WHEN THE
VIOLATION OF ARTICLE III SECTION 1 & 18 OR
THE RULES OF FAIR PRACTICE
NONDISCLOSURE IN APPLICATION UNDER SEC.
11-412 (A)(1).
ONE ALLEGATION OF CONDUCTING ONE SECURITIES
TRANSACTION IN NEW HAMPSHIRE WHILE NOT REGISTERED IN NEW
HAMPSHIRE.
RESPONDENT ALLEGEDLY RECOMMENDED THAT CUSTOMER MORTGAGE HOME AND INVEST LOAN PROCEEDS IN SECURITIES
UNAUTHORIZED TRADE
##################################################################################
WHILE REGISTERING AS A SECURITIES AGENT IN
THE STATE OF TEXAS, FAILURE TO DISCLOSE A FELONY CRIMINAL
CHARGE. GUILTY PLEA, AND CONVICTION TO THE COMMISSIONER (TX)
FAILURE TO DELIVER A PROSPECTUS,
MISREPRESENTATION, AND OMISSION OF MATERIAL FACTS AND
UNSUITABILITY OF INVESTMENTS.
##################################################################################
CEASE AND DESIST ORDER DURING LICENSING
PROCESS
L/H LICENSE WAS DENIED DUE TO BANKRUPTCY.
L/H LICENSES WERE DENIED DUE TO BANKRUPTCY.
THE REVOCATION OF REGISTRATION WAS DUE TO FAILURE TO FILE A REQUIRED DOCUMENT RENEWAL FORM AND PAY THE R
VIOLATION OF ARTICLE III, SECTION 1 OF THE
ASSOCIATION RULES OF FAIR PRACTIVE.2)VIOLATION OF ARTICLE
III,SECTION 1 AND 28 OF THE ASSOCIATIONS RULE OF FAIR PRACTICE.
##################################################################################
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PRIVATE SECURITIES TRANSACTIONS WITHOUT
PROVIDING NOTICE TO PRIOR EMPLOYER MAKING MISLEADING STATEMENT
TO PRIOR BROKER/DEALER
CLIENT ALLEGED I PERFORMED 2 UNAUTHORIZED
TRANSACTION IN HIS ACCOUNT. ALLEGED DAMAGES WERE $2,870.
##################################################################################
##################################################################################
AS SUPERVISOR, IT WAS ALLEGED THAT I PERMITTED A REGISTERED PERSON TO ACT IN A CAPACITY REQUIRING REGISTRATIO
Not Provided
PURCHASED SHARES OF AN IPO IN VIOLATION OF
NASD FREE-RIDING AND WITHHOLDING RESTRICTIONS AND WITHOUT
PROVIDING NOTICE TO EMPLOYER.
PURCHASED SHARES OF AN IPO IN VIOLATION OF
NASD FREE-RIDING AND WITHHOLDING RESTRICTIONS AND WITHOUT
PROVIDING NOTICE TO EMPLOYER
THAT I CONDUCTED SECURITIES BUSINESS IN
WISCONSIN WITHOUT BEING REGISTERED.
NASD EXAMINERS FOUND THAT I HAD VIOLATED THE
FIRM'S RESTRICTION LETTER BY HAVING MORE THAN 15% OF NET
CAPITAL AT RISK IN INVENTORY POSITIONS
##################################################################################
ALLEGED VIOLATION OF ARTICLE III, SECTION 1
OF THE ASSOCIATIONS RULES OF FAIR PRACTICE
ALLEGED VIOLATION OF ARTICLE III, SECTION 1
OF THE ASSOCIATIONS RULES OF FAIR PRACTICE
VIOLATION OF EXCHANGE RULE 406 - CAUSING HIM
MEMBER ORGANIZATION EMPLOYER TO CARRY ACCOUNTS ON ITS BOOKS IN
THE NAME OF A PERSON OTHER THAN THAT OF THE CUSTOMER.
FAILING TO COMPLY WITH MARK-UP POLICY.
(COMPLAINT 1 ONLY; OF SEVEN COMPLAINTS IN TEX-744) NASD RULES
OF FAIR PRACTICE, ARTICLE III, SECTION 164 SEC RULE 106-5.
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FAILURE TO PAY BAR DUES
SELLING A LEVERAGE SILVER CONTRACT TO A
RESIDENT OF MONTANA WHILE NOT BEING REGISTERED IN MONTANA AS
ISSUERS, BROKER/DEALERS, SALESMEN, OR INVESTMENT ADVISORS AT
THE TIME OF SALE.
OMMITTED A CEASE & DESIST COMPLAINT FROM
MONTANTA STATE SEC. DEPT.
THAT I HAD SUNDANCE RESOURCES CONTACTED AND
SOLICITED A RESIDENT OF VERMONT AND OFFERED THE RESIDENT AN
INTEREST IN AN OIL AND GAS VENTURE THAT WAS NOT REGISTERED IN
THE STATE OF VERMONT.
SUITABILITY
FAILURE TO DISCLOSE CHUBB SECURITIES CORP,
BROKER/DEALER, AFFILIATION ON BUSINESS CARDS.
FAILURE TO PAY BALANCE OF REGISTRATION
RENEWAL IN THE AMOUNT OF $15.00 FOR THE YEAR 1987.
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NASD MEMBERSHIP AND REGISTRATION RULE 1120(A) AND NASD CONDUCT RULE 2110
DEFICIENCIES IN INVESTMENT ADVISOR REGISTRATION. VA ALLEGED THAT I TRANSACTED "ADVISOR" BUSINESS WITHOUT BE
DEFICIENCIES IN ADVISOR REGISTRTION
ACTING AS UNREGISTERED INVESTMENT ADVISOR
ALLEGATIONS OF ENGAGING IN CONDUCT
INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE BY
SUBMITTING INACCURATE EMPLOYEE BUSINESS EXPENSE REPORTS.
##################################################################################
ALLEGED TRADING IN SECURITIES WITHOUT BEING
REGISTERED IN FLORIDA
ALLEGED TRADING IN SECURITIES WITHOUT BEING
REGISTERED IN FLORIDA
##################################################################################
##################################################################################
REGISTRATION IS SUBJECT TO REVOCATION BASED
UPON ON ACCEPTED LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC)
ISSUED BY THE NASD IN AUGUST 1997 (AWC #C 1097068).
FAILURE TO PAY LICENSING FEE, BY THE BROKER
DEALER, JOSEPHTHAL, LYON & ROSS.
##################################################################################
EXERCISED DISCRETION IN A CUSTOMER ACCOUNT
WITHOUT PRIOR WRITTEN AUTHORIZATION FROM THE CUSTOMER AND PRIOR
WRITTEN ACCEPTANCE BY EMPLOYER FIRM. FAILED TO MARK ORDER
TICKETS FOR CERTAIN TRANSACTIONS AS DISCRETIONARY.
##################################################################################
MR. MANNA'S SALESPERSON REGISTRATION WAS
SUBJECT TO REVOCATION DUE TO ENTRY OF DECISION BY THE NASD IN
COMPLAINT #C01940013 WHICH SUSPENDED THE RESPONDENT FOR FIVE
DAYS FOR EFFECTING UNAUTHORIZED TRANSACTIONS IN A CUSTOMER'S
ACCOUNT.
EXCESSIVE MARK-UPS IN NINETEEN TRANSACTIONS,
AND SALE OF UNSUITABLE INVESTMENTS.
INCLUDED IN NASD INQUIRY AS TO FAILURE TO
FOLLOW FIRM PROCEDURES FOR PRE-APPROVAL OF CERTAIN TRADES.
FAILURE TO DISCLOSE CRIMINAL EVENT(DUI)
THE STATE ALLEGED VIOLATIONS OF FLORIDA
STATUTES 517.07, 517.12(1), 517.301(1),(A) - SEEKING CEASE AND
DESIST ORDER AND JOINT AND SEVERAL LIABILITY FOR A FIVE THOUSAND
DOLLAR ($5,000) FINE PER VIOLATION.
##################################################################################
BASED ON NON-PAYMENT OF FINES, REGISTRATION WAS REVOKED
MS. WILKIE FAILED TO DISCLOSE A FELONY CONVICTION ON HER FORM U4 SINCE MARCH 1988 WITH VARIOUS MEMBER FIRM
##################################################################################
AS A RESULT OF MY EFFORTS TO TRANSFER MY
REGISTRATION, I WAS REQUIRED TO CONSENT TO AN ORDER OF
REGISTRATION WITH THE MASSACHUSETTS SECURITIES DIVISION
PRIOR CUSTOMER COMPLAINTS
FAILURE TO FILE A MATERIALLY COMPLETE
APPLICATION AFTER DUE NOTICE. AN ORDER OF DENIAL, DENYING THE
AGENT REGISTRATION IN THE STATE OF SOUTH CAROLINA WAS ISSUED BY
THE SOUTH CAROLINA SECURITIES DIVISION ON 7/14/98
ALLEGED VIOLATION BY MR. COST OF VIRGINIA SECURITIES REGULATIONS BY DISCLOSING THE IDENTITY OF A CLIENT TO A TH
R.M. DUNCAN SECURITIES FAILED TO SUPERVISE STEPHEN BLAKE MURCHISION BY ALLOWING HIM TO ENGAGE IN ACTIVITIES
STEPHEN B. MURCHISON VIOLATED SECTION 8-6-3(A), CODE OF ALABAMA 1975 BY EFFECTING SECURITIES TRANACTIONS IN
SUPERVISION
EFFECTING TRANSACTIONS PRIOR TO REGISTRATION
KAPLAN FAILED TO REPORT IN THE CRD SYSTEM DISCLOSABLE EVENTS.
ALLEGED VIOLATION OF NASD RULES 1021, 1031 AND CONDUCT RULE 2110
PRINCIPAL ACTING AS A FINOP WITHOUT SERIES 27.
##################################################################################
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N/A
REQUEST FOR REGISTRATION AS AN AGENT IN ILLINOIS WAS SUMMARILY DENIED.
##################################################################################
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FAILURE TO COMPLY WITH K.A.R. 81-3-1 (A) (2)
##################################################################################
REG T VIOLATION BY JAY ELLIS WHILE EMPLOYED
AT YOUNG, SMITH & PEACOCK, REGARDING AN OPTIONS TRADE, IN
OCTOBER, 1987
SPECIAL STIPULATION ORDER ISSUED BY THE STATE
OF MASSACHUSETTS
##################################################################################
THE COMPLAINT ALLEGED THAT FRANK LYON POLK,
III EFFECTED UNAUTHORIZED TRADES IN THE ACCOUNTS OF TEN R.H.
DAMON & CO., CUSTOMERS.
##################################################################################
THAT PIT BROKER TRADED FOR PERSONAL ACCOUNT
BEFORE EXECUTING CUSTOMER ORDER.
NONE
NONE
REVIEW OF SALE OF CLOSELY HELD STOCK,
REGISTERED INVESTMENT ADVISER ACTIVITIES.
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VIOLATION OF NYSE RULE #724(A)-EXERCISED
DISCRETIONARY POWER IN A CUSTOMERS OPTION ACCOUNT WITHOUT PRIOR
WRITTEN CONSENT FROM CUSTOMER.
##################################################################################
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KENTUCKY ISSUED CONDITIONAL INSURANCE LICENSE SUBJECT TO NOTICE OF RESOLUTION OF PENDING CIVIL ACTION AGAIN
##################################################################################
ALLEGED THAT MR. DOUGLAS F. KAISER VIOLATED
ARTICLE III, SECTIONS I, 19(A), AND 19(F) RULES OF FAIR
PRACTICE.
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FAILURE TO SUPERVISE
VIOLATION OF NASD CONDUCT RULE 2110
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FAILURE TO FILE 4 CUSTOMER COMPLAINTS
FAILURE TO ETABLISH, MAINTAIN AND ENFORCE PROCEDURES REASONABLY DESIGNED TO RESULT
IN THE TAPE RECORDING OF ALL CONVERSATIONS REQUIRED TO BE TAPED AND REVIEWED
PURSUANT TO NASD CONDUCT RULE 3010(B)(2) AND 2110
##################################################################################
ALLEGED VIOLATION OF THE RULES OF FAIR
PRACTICE OF THE NASD, AND/OR THE GOVERNMENT SECURITIES RULES OF
THE NASD.
AN AUDIT CONDUCTED BY THE FLORIDA OFFICE OF FINANCIAL REGULATION IN 2001/2002 FOUND THAT MR. SALVATORE FAI
COMPLAINT ALLEGED THAT MORSON VIOLATED NFA
COMPLIANCE RULES 2-2(A) & 2-29(A)(1)& (2)AND 2-29 (B),(1)(2) & (3).
##################################################################################
ALLEGED VIOLATION OF NASD CONDUCT RULES 2110
AND 2310 (B) (FORMERLY ARTICLE III, SECTIONS I AND 2(B) OF THE
ASSOCIATION`S RULES OF FAIR PRACTICE).
FAILURE TO PAY BALANCE OF 1989 RENEWAL FEE OF
$15.00
##################################################################################
ALLEGED PREARRANGED TRADING-NO ALLEGED ACTUAL
OR ALLEGED DAMAGES
##################################################################################
FAILURE TO TIMELY SUBMIT CONTINUING EDUCATION REQUIREMENTS TO TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY.
ACCORDING TO THE NASD'S ALLEGATIONS, I
EXECUTED TRANSACTIONS FOR PUBLIC CUSTOMERS WITHOUT HAVING THEIR
ORAL GRANTS OF DISCRETION REDUCED TO WRITING.
ALLEGATIONS
FAILURE TO PAY THE BALANCE OF THE 1989
WITHDRAWAL FEE OF $30.00. THE SHORTAGE WAS $15.00.
VIOLATION OF NASD RULE 2110 AND IM2110-1
FAILURE TO PAY ADDITIONAL RENEWAL FEE OF $15.
NON-COMPLIANCE FOR VIOLATION TO NOTIFY
OKLAHOMA INSURANCE COMMISSION OF CHANGES AMONG MEMBERS,
DIRECTORS, AND OFFICERS - 10 WORKING DAYS - 0305142B7
STATE OF MO RECEIVED A CUSTOMER COMPLAINT ALLEGING ANNUITY SALES WERE UNSUITABLE
ALLEGED VIOLATIONS OF THE RULES OF FAIR
PRACTICE OF THE NASD.
REGISTRATION DENIED
THE INDIANA SECURITIES COMMISSIONER DENIED
THE AGENT REGISTRATION OF SHRYACK. SHRYACK FAILED TO RESPOND TO
THE DIVISIONS REQUEST FOR INFORMATION
##################################################################################
DECEPTIVE SALES PRESENTATION
STATE OF WISCONSIN ALLEGED THAT I WAS DOING
TRADES IN THAT STATE WITHOUT PRIOR REGISTRATION
##################################################################################
FAILURE TO PAY RENEWAL BALANCE OF $15 ON
RENEWAL FEE OF $30.
VIOLATIONS OF NYSE RULES 440B.13 AND 410 (A)
(1) FOR FAILING TO MARK ONE ORDER TICKET "SHORT" AND TO
TIME-STAMP TWO ORDER TICKETS.
NASD RULE 2110 RESPONDENT FAILED TO AMEND HIS U-4 WITH A MATERIAL FACT.
RESPONDENT VIOLATED THE REGISTRATION PROVISIONS OF THE PENSYLVANIA SECURITIES ACT OF 1972
WHILE EMPLOYEE OF J.T. MORAN I SOLD THREE SECURITIES THAT WERE NOT REGISTERED IN THE
STATE OF CONNECTICUT (1) MED-MOBILE (2) J.T. MORAN FINANCIAL (3) 1STEC INDUSTRIES &
TECHNOLGOIES
NONE
##################################################################################
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##################################################################################
##################################################################################
APPLICANT FAILED TO INFORM THE NORTH DAKOTA DEPT. OF INSURANCE OF AN ADMINISTRATIVE ACTION FILED AGAINST H
MY LICENSE WAS REVOKED BECAUSE I FAILED TO PROVIDE DOI IOWA WITH INFORMATION REGARDING MY ADMINISTRATIVE
##################################################################################
ALLEGED VIOLATION OF ARTICLE III, SECTION 2
OF THE RULES OF FAIR PRACTICE.
##################################################################################
FAILURE TO PAY THE 1989 RENEWAL FEE BALANCE
$15.00
12/1/99, CLAIMANTS ALLEGE AGENT EXECUTED EXCESSIVE AND UNSUITALBE TRANSACTIONS IN HIS MARGIN ACCOUNT.
##################################################################################
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ALLEGED FAILURE TO DISCLOSE ARBITRATIONS/LAWSUITS AND AGENCY ACTIONS TO WHICH STIS WAS A PARTY ON STIS'S AN
VIOLATION OF NASD CONDUCT RULES 2110, 2440
AND 3010.
NET CAPITAL VIOLATION OCCURRED WHEN A SETTLEMENT AGREEMENT WAS NOT ENTERED ON AMEREST SECURITIES INC. FI
THE NEW YORK STOCK EXCHANGE IS INVESTIGATING CERTAIN
ASPECTS OF MS. PERRY-MASON'S ACTIVITIES IN CONNECTION
WITH THE INITIAL PUBLIC OFFERING OF ECHPMAN.COM, INC.
##################################################################################
ACCOMODATION FORGERY - NO DAMAGES OR CLAIMS.
THE OHIO DIVISION OF SECURITIES ALLEGED THAT MR. SHEPHERD WAS NOT OF GOOD BUSINESS REPUTE.
##################################################################################
MINNESOTA DEPT A REVENUE WOULD NOT SAVE A
SECURITIES LICENSE UNTIL A FAX CLEARANCE WAS FIRST SAID BY THE
STATE
THE COMPANY (CARNEGIE INVESTOR SERVICES) THAT
I REPRESENTED AS A REGISTERED REPRESENTATIVE IN THE STATE OF
NEW JERSEY, HAD VOLUNTARILY WITHDRAWN ITS NEW JERSEY
REGISTRATION, PRIOR TO MY REPRESENTATION IN THE STATE OF NEW
JERSEY.
SOLICITING INSURANCE CONTRACTS WITHOUT A
VALID INSURANCE LICENSE.
RESPONDENT ALLEGED TO LACK GOOD BUSINESS REPUTE.
##################################################################################
ILLINOIS DEPARTMENT OF SECURITIES WANTS TO REVOKE MR. RAPPAPORT'S SECURITIES LICENSE BASED ON HIS 2004 REGUL
NASD RULE 2110 - RAPPAPORT FAILED TO COMPLY WITH A SUSPENSION IMPOSED BY NASD IN 2004
##################################################################################
THE CSE ALLEGED THAT CRAIG JONES, AS A PAINE
WEBBER SPECIALIST ON THE CSE, SUBMITTED 8 CROSSES, OUT OF
SEQUENCE. THIS DID NOT YIELD PRIORITY TO THEIR ORDER BOOK, BUT
DID BENEFIT PAINE WEBBER CUSTOMERS.
##################################################################################
##################################################################################
IT WAS ALLEGED THAT MR. CORDES OFFERED AND
SOLD SECURITIES IN THE STATE OF FLORIDA WHILE UNREGISTERED.
CLIENT WAS UNCOVERED FOR A 48 HOUR PERIOD
ORDER WAS VACATED BECAUSE TRACY COHEN-MCCLUCKIE WAS NAMED IN ERROR. NO ALLEGATIONS AGAINST HER.
CENTRAL BROKERAGE SERVICES, ACTING THROUGH
DAVID S. NEEL, JR. AND [OTHER FIRM EMPLOYEE], VIOLATED ARTICLE III,
SECTIONS 1 AND 21 OF THE NASD'S RULES OF FAIR PRACTICE.
NONE. I WAS NOT LICENSED TO SELL SHARES FOR
MAKING INCOME.
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NASD RULES 2110, 3010(A) - ALLEGATIONS INCLUDE FAILURE TO ADEQUATELY SUPERVISE A REGISTERED REPRESENTATIVE W
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ON MY INITIAL NY INSURANCE LICENSE, I MISREAD THE QUESTION REGARDING BANKRUPTCY AND ANSWERED THE QUESTION
FAILURE TO OBTAIN BEST PRICE AVAILABLE FOR
THE CUSTOMER AND ENGAGED IN IMPROPER CROSS TRADE AT A FLOOR
BOOTH. ALLEGATIONS OF VIOLATIONS OF CBOE RULES 4.1, 6.34,
6.73(A); 6.74(A)
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VIOLATION OF PACIFIC STOCK EXCHANGE RULE
4.6(a)
PIERCE & COMPANY, WAYNE PIERCE AND I PREPARED
INACCURATE NET CAPITAL COMPUTATIONS, DIDN`T COMPLY WITH NET
CAPITAL RULES AND ENGAGED IN TRANSACTIONS WHEN IN VIOLATION OF
NET CAPITAL REQUIREMENTS.
ON 8/18/99 BEREAN CAPITAL ACTING THOUGH C. BERBERICH FAILED TO COMPLY WITH SEC RULE 15C3-1 BY CONDUCTING BU
AVATAR INVESTORS ASSOCIATES CORP., DURING THE
PERIOD JANUARY 1, 1992 THROUGH JANUARY 30, 1992 TRANSACTED
BUSINESS AS AN INVESTMENT ADVISER WITHOUT EFFECTIVE LICENSING
REQUIREMENTS FOR ITS REPRESENTATIVE, CHARLES M. WHITE.
HAVING DISCLOSURE ON MY BUSINESS CARD THAT INVESTMENT ADVISORY SERVICES WERE OFFERED THROUGH
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PURSUANT TO NASD RULES 2110,3011, THE NASD DETERMINED THAT, THROUGH MY FIRM, MR. GOUZOS DID NOT ADEQUAT
UNDER THE PRINCIPALS SUPERVISION, THE FIRM FAILED TO FILE OR FILE TIMELY STATISTICAL AND SUMMARY INFORMATION
STATE OF INDIANA AUDIT FORM WAS SENT IN LATE. THE FORM WAS GIVEN TO US WHEN I WAS OUT OF TOWN AND WAS NO
SELLING UNREGISTERED STOCK IN A PRIVATE
OKLAHOMA CORP.
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THE STATE ALLEGED THAT LINSCOMBE EXECUTED
TRADES WITHOUT BEING LICENSED. THERE WERE NO DAMAGES OR CLAIMS
BY THE CUSTOMER. CUSTOMER DID NOT WISH TO RESCIND THE TRADE
DENIAL OF REGISTRATION DUE TO LACK OF
EXPERIENCE
LAPSE IN REGULATORY CE WHILE OPERATING AS PRINCIPAL OF THE FIRM.
TRANSACTION WITH CORP. WHICH SHOULD HAVE BEEN
REGISTERED. U4 SHOULD HAVE INDICATED OUTSIDE BUS. ACTIVITY.
OPERATED WITHOUT PROPER REGISTRATION WITH THE STATE OF TEXAS.
ALLOWED AGENTS TO OPERATE WITHOUT PROPER REG. WITH STATE OF
TEXAS.
UNAUTHORIZED TRADING IN THE JONE'S ACCOUNT
FOR A TOTAL OF $2,284.17. THIS INCLUDED A $500.00
ADMINISTRATIVE FEE PAYABLE TO THE INDIANA SEC. OF STATE.
SUITABILITY, SALE OF SECURITIES NOT
REGISTERED IN INDIANA.
NASD ALLEGES SALES PRACTICE ABUSE
NASD CONDUCT RULES 2110 AND 3010 - RESPONDENT FAILED TO TAKE APPROPRIATE ACTION TO SUPERVISE OTHER INDIVID
SALE OF UNREGISTERED SECURITY IN THE STATE OF FLORIDA.
SETTLED AWAY WITH MIRIAM BELSKY IN VIOLATION OF RULE 2110
CERTAIN TRANSACTIONS WERE NOT EXECUTED AT
PRICES WHICH WERE FAIR OR REASONABLE IN VIOLATION OF RULE
G-30 OF MSRB. IN ADDITION, THE COMPLAINT ALLEGES CERTAIN
SUITABILITY AND OTHER VIOLATIONS ARISING FROM THE SALE OF A
LIMITED PARTNERSHIP.
CERTAIN TRANSACTIONS WERE NOT EXECUTED AT
PRICES WHCIH WERE FAIR & REASONABLE IN VIOLATION OF RULE G-10
OF MSRB IN ADDITION THE COMPLAINT ALLEGED CERTAIN SUITABILITY
AND OTHER VIOLATIONS ARISING FROM THE SALE OF LIMITED
PARTNERSHIPS.
ALLEGATIONS THAT MR. GRUBB MAY HAVE DISCUSSED AN INVESTMENT OPPORTUNITY WITH A NEW MEXICO RESIDENT PRIO
ALLEGED VIOLATIONS OF THE INDIANA SECURITIES
ACT
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FAILURE TO GET APPROVAL ON AN ADVERTISING WEBSITE
AS FINOP, I ALLOWED THE FIRM'S NET CAPITAL TO FALL BELOW MINIMUMS
DURING NASD EXAM, EXAMINER FELT THERE WAS A POTENTIAL FOR A LIEN AGAINST OUR NET CAPITAL WHICH MIGHT CAUS
THE ARIZONA SECURITIES DIV. ALLEGED THAT I
ALONG WITH SEVERAL OTHER INDIVIDUALS AND COMBINED COMPANIES
FRAUDULENTLY MISREPRESENTED THE SAFETY OF BONDS UNDERWRITTEN BY
BUCHANAN & CO.
EFFECTED TRANSACTIONS ON A DISCRETIONARY
BASIS WITHOUT WRITTEN AUTHORIZATION.
VIOLATIONS OF: SECTION 15(C) + RULE 15C 2-4,
ARTICLE III, SECTION 1, SECTION 10(B), RULE 10B-9. FINE OF
$5,000.
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'LACK OF BUSINESS REPORT'. SEE NUMBER 9
BELOW.
FAILURE TO ADEQUATELY SUPERVISE ACTIVITIES OF REGISTERED REPS RELATED TO THE ISSUANCE OF 4 RESEARCH REPORTS.
EFFECTED TRANSACTIONS IN A CUSTOMER'S ACCOUNT
WITHOUT THE KNOWLEDGE OR CONSENT OF SUCH CUSTOMER AND WITHOUT
HAVING OBTAINED PRIOR WRITTEN DISCRETIONARY AUTHORITY.
VIOLATION OF ARTICLE III-SECTION 1 AND 15(B).
FAILED TO TIMELY DISCLOSE A BANKRUPTCY FILING
ON A FORM U-4 AMENDMENT.
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REVIEW OF SALE OF CLOSELY HELD STOCK,
REGISTERED INVESTMENT ADVISER ACTIVITIES
FILING AN APPLICATION WHICH IS FALSE OR MISLEADING WITH RESPECT TO ANY MATERIAL FACT
FINANCING A HOMEWONERS POLICY THAT WAS PAID IN FULL AND SIGNING THE INSURED'S NAME TO THE PREMIUM FINANC
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NASD RULE 2110 - AS I WAS THE MEMBER FIRM'S FINOP, FAILED TO ENSURE THAT THE FIRM CONDUCTED A SECURITIES BUSI
FOLLOWING ROUTINE AUDIT, STAFF OF COLORADO SECURITIES DIVISION ALLEGED THAT INVESTMENT ADVISOR COMPANY O
THE CHICAGO BOARD OPTION EXCHANGE'S BUSINESS CONDUCT COMMITTEE ACCUSED MR. TURNBOUGH OF MAKING UNSU
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1. FAILURE TO MAINTAIN MINIMUM NET CAPITAL
2. SUBMISSION OF AN INACCURATE FOCUS I REPORT
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RESPONDENT WILL WITHDRAW HIS REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS AND WILL NOT REAPPLY FO
SELLING IN THE STATE OF GEORGIA WITHOUT A
LICENSE.
WHEN I WAS A REGISTERED PRINCIPAL WITH RM SECURITIES CORPORATION IN APPROXIMATELY 1981, WE HAD OUR LICENSE
FOCUS REPORT FILED ONE DAY LATE DUE TO CPA
MISUNDERSTANDING OF THE DUE DATE SEE ATTACHED LETTER
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SELLING SHARES OF AN INITIAL PUBLIC OFFERING
TO RESTRICTED INDIVIDUALS IN VIOLATION OF THE "FREE RIDING AND
WITHHOLDING" INTERPRETATION OF THE BOARD OF GOVERNMENT OF
ARTICLE III, SECTION 1 OF THE ASSOCIATION'S RULE OF FAIR
PRACTICE.
NON PAYMENT OF REGISTRATION FEE $25 DENIAL OF
SECURTIES LICENSE.
WIFE PURCHASED FOR HER PERSONAL ACCOUNT
SHARES OF A HOT ISSUE IN VIOLATION OF FREE-RIDING AND
WITHHOLDING INTERPRETATION OF ARTICLE III, SECTION 1 OF NASD'S
RULES OF FAIR PRACTICE.
FAILURE TO SUPERVISE.
FAILURE TO SUPERVISE.
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USE OF A PROSPECTING LETTER NOT FILED OR CLEARED.
VERBAL MISREPRESENTATION WITH REGARD TO HIS
GOVERNMENT SECURITIES PORTFOLIO
ALLOWING A CUSTOMER TO TRADE OPTIONS FOR
WHICH THEY HAD NOT PREVIOUSLY APPROVED FOR BY MERRILL LYNCH,
THEREBY ALLOWING THE CUSTOMER TO ENGAGE IN UNSUITABLE
TRANSACTIONS.
I TRANSACTED BUSINESS IN MUNICIPAL BONDS
PRIOR TO MY LICENSE BEING EFFECTIVE IN ALABAMA.
FAILURE TO PAY FINE FROM CENSURE FINDING ON FEBRUARY 11, 1986.
IPO SHARES PURCHASED IN PERSONAL ACCOUNT
UNSUITABLE TRANSACTIONS TO CUSTOMER,
CIRCUMVENTING FIRM PROCEDURES, NO WRITTEN DISCRETIONARY
AUTHORITY, RULE 408(A),UNAUTHORIZED TRANSACTIONS IN CONNECTION WITH GABRIELLE
IWASKO ACCOUNT. (INFORMATION PREVIOUSLY PROVIDED).
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NASD CITED OFFICERS OF CORPORATION FOR RULE VIOLATIONS DISCLOSED DURING THE COURSE OF A ROUTINE EXAM IN 19
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TRADING WITHOUT PRIOR WRITTEN AUTHORIZATION
TRADING WITHOUT PROPER WRITTEN AUTHORIZATION
SELF-REPORTED TERMINATION BY EMPLOYER FOR ALLEGED UNAUTHORIZED USE OF DISCRETION AND FAILURE TO FOLLOW F
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DIRECTOR OF INSURANCE ALLEGES THAT MR. LINK PROVIDED INACCURATE INFORMATION ON AN INSURANCE RENEWAL APP
SEE RESPONSE BELOW IN ITEM 13
FAILURE TO PROPERLY SUPERVISE A REGISTERED REPRESENTATIVE AND FAILED AND NEGLECTED TO ESTABLISH, MAINTAIN A
FAILURE TO DISCLOSE A BANKRUPTCY FILING IN A
TIMELY MANNER AS DIRECTED ON FORM U-4 WHILE REGISTERED AS AN
AGENT OF BEAR STEARNS.
2 COUNTS OF TRANSACTING A SALE OR PURCHASE OF
A SECURITY BEFORE PENDING REGISTRATION WAS EFFECTIVE; 2 COUNTS
OF ALLEGEDLY MAKING FALSE STATEMENTS; 1 COUNT OF FAILURE TO
SUPERVISE.
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VIOLATIONS OF ARITCLE III, SECTIONS
1,2,15(B), 18 19(A), AND 33 APPENDIX E, SUBSECTIONS 19(A) AND
(B)
RESULT OF PURCHASE OF 500 SHARES OF STOCK ON AN IPO THAT WENT TO 50 CENTS PREMIUM IN THE SECONDARY MARKE
MR. FAULKNER IS CHARGED WITH VIOLATIONS OF EXCHANGE RULES BY EFFECTING TWO UNAUTHORIZED TRANSACTIONS, GU
STATE OF ILLINOIS IS REQUESTING A HEARING REGARDING THE AMERICAN STOCK EXCHANGE DISCIPLINARY PANEL DECISION
THE COMMISSIONER OF INSURANCE OF THE STATE OF KANSAS ADMINISTERED A $100.00 PENALTY ON MR. TENPENNY FOR N
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FAILURE TO DISCLOSE AN ADMINISTRATIVE ACTION TAKEN BY THE STATE OF KANSAS ON HIS WISCONSIN INSURANCE APPLIC
RESPONDENTS REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION PURSUANT TO SECT
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MR. NIKITOVICH'S AGENT REGISTRATION IS SUBJECT TO REVOCATION IN ILLINOIS, BASED ON AN NASDR ORDER, ACCEPTING M
ALLEGATIONS INCLUDE CLAIM THAT IN MAY,1997, REGISTERED REPRESENTATIVE EXERCISED DISCRETIONARY TRANSACTIONS
THE NYSE CONDUCTED AN INVESTIGATION INTO
ALLEGATIONS MADE BY COWEN & CO THAT CERTAIN TRANSACTIONS
EFFECTED BY PICCIRILLO WHILE EMPLOYED BY COWEN & CO.
APPROXIMATELY 12 CUSTOMERS ALLEGED UNAUTHORIZED TRANSACTIONS &
USING DISCRETION WITHOUT AUTHORIZATION.
WHILE AGENT FOR BLINDER ROBINSON & CO. SOLD
SECURITIES TO IOWA RESIDENTS WHILE NOT REGISTERED AS A
SECURITIES AGENT AND THE SECURITIES WERE NOT REGISTERED OR
EXEMPTED, INVOLVES 3 INDIVIDUALS ON 6 TRANSACTIONS.
VIOLATIONS OF MASSACHUSETTS GENERAL LAWS
SECTION 101 AND 204 (A)(2)(G) ALLEGING UNTRUE STATEMENTS AND/OR
DISHONEST OR UNETHICAL BUSINESS PRACTICES.
ALLEN IS ALLEGED TO HAVE VIOLATED EXCHANGE
RULES 924(A), 923 (A), 421, 312G, 9 12 (A), 921 (D), ARTICLE V
SECTION 4 (1) OF THE EXCHANGE CONSTITUTION IN THAT HE VIOLATED
SECTION 10 (B) OF SEC "34 ACT & 10B-5
I INVESTED $10,000.000 WITHOUT INFORMING E.D.
JONES.
DUE TO CUSTOMER COMPLAINT, REGISTRATION IN THE
STATE OF MISSOURI WAS DENIED
DUE TO CUSTOMER COMPLAINT, THE NYSE FOUND ME
TO BE IN VIOLATION OF RULE 408(o) AND 352(c). MR. DUNN PAID FULL
RESTITUTION TO THE FIRM WHICH WAS $14,500.
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FDIC ASSESSING A CIVIL MONEY PENALTY AGAINST
MR. SCHMIDT FOR VIOLATION OF SECTION 22(B) OF THE FEDERAL
RESERVE ACT, 12 U.S.C. 375B AND REGULATION O OF THE BOARD OF
GOVERNORS OF THE FEDERAL RESERVE SYSTEM.
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ALLEGATIONS: SUITABILITY ISSUE IN VIOLATION OF NASD RULES 2110 & 2310; DISCRETIONARY ISSUE IN VIOLATION OF NASD
THE RESPONDENT'S SALESPERSON REGISTRATION IN ILLINOIS IS SUBJECT TO REVOCATION, PURSUANT TO THE NATIONAL ASS
SALE OF UNREGISTERED SECURITIES AND NOT BEING LICENSED IN THE STATE TO SELL SECURITIES.
NASD ALLEGES FAILURE TO SUPERVISE A FORMER EMPLOYEE.
IT WAS ALLEGED THAT MR. NEUMAN FAILED TO
REASONABLY SUPERVISE AN AGENT TO ASSURE THAT AGENTS COMPLIANCE
WITH CH. 551, WIS. STATS.
FAILURE TO SUPERVISE
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EXCEEDED OPTION POSITION LIMIT PRESCRIBED BY
ARTICLE III, SECTION 33 OF THE ASSOCIATION'S RULES OF FAIR
PRACTICE.
UNETHICAL/DISHONEST BUSINESS PRACTICES
THE COMPLAINT ALLEGED THAT GRUNTAL & I
VIOLATED MAINE BLUE KY LAW BY OFFERING AND SELLING SECURITIES
UNREGISTERED IN THE STATE OF MAINE.
STATEMENT OF CHARGES ON FILE.
VIOLATION OF ARTICLE III, SECTION 1, AND SEC
RULE 15C 3-1 IN CONNECTION WITH NET CAPITAL DEFICIENCIES FROM
OCT 17 - 25, 1988 AND NOVEMBER 15-17, 1988 WHILE ASSOCIATED
WITH PRIMUS FINANCIAL SERVICES, INC AS PRESIDENT AND PRINCIPAL.
BETWEEN 2000 AND 2001, GOULDING MADE TEN TRADES FOR TWO CLIENTS, WITHOUT THEIR AUTHORIZATION. GOULDING
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ALLEGED THAT PECK FAILED TO REASONABLY SUPERVISE HIS AGENTS OR EMPLOYEES, TO ASSURE THEIR COMPLIANCE WITH
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EXCESSIVE MARKUPS
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VIOLATION OF SECTION 1 OF THE RULES OF FAIR
PRACTICE.
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ALLEGED VIOLATION OF NASD CONDUCT RULE 2110 FOR A DECEMBER 30, 2002 TRANSACTION WHICH WAS PROMPTLY CORR
FAILURE TO RESPOND TO CERTIFIED MAIL INQUIRY
REGARDING PENDING APPLICATION.
COMMINGLING OF FUNDS-$3,175.30 HELD IN
INSURANCE AGENCY ACCOUNT VS. BEING PAID DIRECTLY TO INSURANCE
COMPANY. USED UNAPPROVED MARKETING MATERIALS TO SOLICIT ANNUITY
BUSINESS.
VIOLATIONS OF ITS RULES OF FAIR PRACTICE
VIOLATIONS OF ARTICLE III, SECTIONS 1, 2 AND
40 OF THE RULES OF FAIR PRACTICE, IMPROPER INVESTMENTS,
NEGLIGENCE, AND BREACH OF FIDUCAIRY DUTY. FAILURE TO SUPERVICE
REPRESENTATIVE GENE B. RUSSELL.
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VIOLATION OF FIRM'S INTERNAL POLICY, SIGNING
CLIENT'S NAME (WITH CLIENT'S APPROVAL) TO INTERNAL DOCUMENT
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REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION PURSUANT TO SECTION 8.E(1)(J)OF
FILING AN APPLICATION FOR REGISTRATION WHICH
CONTAINED FALSE STATEMENTS OR MATERIAL OMISSIONS AND THAT MR.
ROSS WILLFULLY VIOLATED OR WILLFULLY FAILED TO COMPLY WITH THE
PROVISIONS OF THE MISSOURI SECURITIES ACT.
A REGISTERED REPRESENTED OF THE FIRM I WAS
THEN PRINCIPAL OF SOLICITED SALES IN MINNESOTA PRIOR TO I OR
THE FIRM BECOMING REGISTERED IN THAT STATE.
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MY FORMER EMPLOYER, INVESTORS DIVERSIFIED SERVICES,INC. FAILED TO FILE A FLORIDA REGISTRATION FORM DUE TO A C
FOUND WRIGHT VIOLATED CERTAIN EXCHANGE RULES
WITH RESPECT TO OPTIONS PURCHASES CONDUCTED IN HIS PERSONAL
SECURITIES ACCOUNT AND IN CUSTOMR ACCOUNTS, AND ENGAGED IN
CONDUCT INCONSISTENT WITH JUST AND EQUITABLE PRINCIPALS OF
TRADES AS A RESULT.
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MISAPPLICATION OF CLIENTS FUNDS IN THE AMOUNT
OF $40,000.
FOUND TO BE IN VIOLATION OF ARTICLE III, SECTION 1 AND 28 OF THE NASD RULES OF FAIR PRACTICE. IN FEBRUARY 1992 PU
STATE ALLEGED FAILURE TO SUPERVISE, USE OF INACCURATE SALES MATERIALS AND RECORD KEEPING VIIOLATIONS
NASD ALLEGED MISLEADING STATEMENTS TO CUSTOMERS IN VIOLATION OF SEC RULE 482(A)(3) AND FAILURE TO SUPERVISE
THE MONTHLY FORCUS REPORT WAS FILED ONE DAY
LATE BY SOUTHEAST BANK BROKEAGE
THE MONTHLY FOCUS REPORT WAS FILED ONE DAY
LATE BY SOUTHEAST BANK BROKERAGE SERVICE
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SEE ATTACHED ORDER NO. FIN-1180
ALLEGED UNSUITABLE RECOMMENDATIONS, EXCESSIVE
TRADING, VIOLATION OF ARTICLE III, SECTIONS 1 & 2 OF THE
ASSOCIATION'S RULES OF FAIR PRACTICE.
ALLEGATIONS OF SOLICITATION OF A PURCHASE OF STOCK OR OPTIONS FOR THE ACCOUNT OF A CUSTOMER USING FALSE, M
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UNAUTHORIZED TRANSACTIONS. VIOLATIONS OF
ARTICLE III, SECTIONS 1 AND 2, OF THE RULES OF FAIR PRACTICE
FAILURE TO PROMPTLY TRANSMIT FUNDS RECEIVED
TO A PROPERLY ESTABLISHED ESCROW ACCOUNT FOR A CONTINGENT OFFERING.
APPLICANT WAS DENIED REGISTRATION DUE TO PRIOR REGULATORY ACTIONS.
ALLEGED VIOLATION OF ARTICLE III, SECHEDULE C
OF NASD BY-LAWS AND ARTICLE III, SECTION 1 OF NASD RULES OF FAIR
PRACTICE AS A RESULT OF FAILING AND NEGLECTING TO QUALIFY AS A
GENERAL SECURITIES PRINCIPAL PURSUANT TO ARTICLE II, SCHEDULE C.
ALLEGED TO HAVE FAILED TO SUPERVISE A
REGISTERED REPRESENTATIVE BY FAILING TO PREVENT HIM FROM
EFFECTING CERTAIN TRANSACTIONS PROHIBITED BY THE FREE- RIDING
AND WITHHOLDING INTERPRETATION.
ACTING AS AN INVESTMENT ADVISOR WITHOUT A LICENSE. WE PRODUCED QUARTERLY REPORTS TO PLAN PARTICIPANTS W
THE STATE OF PENNSYLVANIA ALLEGED THAT I DID
NOT DISCLOSE AND ORDER TO SHOW CAUSE AND A SUMMARY ORDER OF
REVOCATION AGAINST ME ON FORM U-4 IN CONNECTION WITH A FILING
MADE PURSUANT TO SECTION 203 (D) OF THE PENNSYLVANIA SECURITIES
ACT OF 1972.
VIOLATION OF PARAGRAPH 6(A) OF SECTION 502.301 (2), CODE OF IOWA, 1987 AND PARAGRAPH 6(B) OF SECTION 502.301 (
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FAILURE TO PROPERLY SUPERVISE SALESMAN,
FAILURE TO PROPERLY PRICE SECURITIES
CLAIMANT ALLEGES BREACH OF FIDUCIARY DUTY
NEGLIGENCE, MISREPRESENTATION AND VIOLATIONS OF STATE
SECURITIES LAWS WITH RESPECT TO LEWIS & CLARK COUNTY, MONTANA
AND THEIR PURCHASE OF MORTGAGE DERIVATIVES THROUGH APPLICANTS'
BROKER DEALER.
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THE ALLEGED VIOLATION WAS A SALE OF A "HOT
ISSUE" TO A RESTRICTED PERSON IN CONTRAVENTION OF THE NASD FREE RIDING AND
WITHHOLDING INTERPRETATION. THE "HOT ISSUE" IN QUESTION WAS THE SALE OF 100 SHARES OF
REEBOK, INC.
ALLEGED VIOLATION OF MSRB RULES
G-17,G-18,G-19 (C)(I)
NOT PROVIDED
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*SALE OF SUMMIT PETROLEUM COMMON STOCK TO
CLIENT IN ARIZONA. SUMMIT WAS NOT REGISTERED IN ARIZONA.
VIOLATION OF SECTION 2(A)(I)(A) OF THE COMMODITY EXCHANGE ACT BY RUNNING REGISTERED COMMODITY POOLS.
ALLEGED VIOLATION OF RULE 2110 AND 3010 WITH
RESPECT TO THE FIRMS OVERALL SUPERVISORY SYSTEMS AND RULES 10B
AND 10B-5 WITH RESPECT TO THE USE OF FUNDS FROM A PRIVATE
PLACEMENT.
THE COMPLAINT APPLIES TO THE PERIOD ENDING APRIL 28, 1985 AND STATES THAT MICHAEL
LEVINSON AND CO. CONDUCTED A SECURITIES BUSINESS WHILE FAILING TO COMPLY WITH THE
SEC NET CAPITAL RULE.
THAT I HAD OVER 8000 IBM CALLS ON ONE SIDE
FOR ONE CLIENT
I HAD NOT COMPLETED ADEQUATE CONTINUING
EDUCATION REQUIREMENTS TO MAINTAIN MY CPA CERTIFICATE
A LETTER SENT OUT THAT WAS APPROVED BY THE
PRINCIPAL WAS ALLEGED TO BE MISLEADING
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IMPROPER TRADE IN MEREDITH CORPORATION STOCK
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VIOLATIONS OF NASD CONDUCT RULE 2110 AND NASD MEMBERSHIP AND REGISTRATION RULE 1022(A).
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VIOLATION OF FREERIDING AND WITHHOLDING
INTERPRETATION, ARTICLE III, SECTION 1 OF THE NASD RULES OF
FAIR PRACTICE
VIOLATION OF NASD RULE 3030 AND 3E-600.013(2)(H), FLORIDA ADMISISTRATIVE CODE. OUTSIDE BUSINESS ACTIVITY.
THE COMPLAINT INVOLVED DEFICIENCIES OF CERTAIN SEC RULES, MOST OF WHICH WERE IN REGARD TO 15C3-3 (RESERVE A
NASD CONDUCT RULE 2110-2210-DANIEL E. BRUNETTE IS LETTERS TO FOUR OF HIS CLIENTS FAILED TO CLEARLY DESCRIBE TH
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FAILURE TO NOTIFY THE STATE OF WISCONSIN (OCI) IN WRITING OF THE REGULATORY ACTION TAKEN BY THE NASD OCT. 5, 2
FAILURE TO REPORT TO THE DEPARTMENT (OHIO) THE STATE OF ILLINOIS, DEPARTMENT OF SECURITIES CONSENT ORDER DA
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SALE OF SECURITY NOT REGISTERED IN GEORGIA
SEE DETAILS #8C
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REVOKED FOR NON-PAYMENT OF FINES & COAST
ASSOCIATED WITH NASD COMPLAINT #NEW 386
ON AT LEAST ONE OCCASION, STANSBERRY ALTERED
A TIME STAMP ON AN ORDER TICKET FOR ANGICON STOCK.
VIOLATIONS OF NASD CONDUCT RULES 2110, 2120 &
3010
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RECOMMENDED PURCHASE OF SECURITIES WITHOUT
HAVING GROUNDS TO BELIEVE THAT SAID RECOMMENDATION WAS SUITABLE
ORDER GRANTING RESTRICTED REGISTRATION
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I DID NOT REPORT TO THE KANSAS INSURANCE
COMMISSIONER AND ADMINISTRATIVE PENALTY IMPOSED UPON ME BY THE
NEBRASKA DEPARTMENT OF INSURANCE WITH 30 DAYS OF OCCURRENCE.
THE NYSE INITIATED AN IVESTIGATION CONCERNING
MR DOYLE'S TERMINATION FROM EDWARD JONES.
AT VARIOUS TIME BETWEEN 8/1999 AND 2/2001 RESPONDENT ALLEGEDLY VIOLATED SECTION 36B-21-14F(B)(3) OF THE REG
TRANSACTING BUSINESS PRIOR TO TAKING SERIES
#63
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ALLEGED TO HAVE FROM APRIL 1986 THROUGH
DECEMBER 1987 MADE MISREPRESENTATIONS TO THREE INVESTORS
CONCERNING THE HUTTON INVESTMENT GOVERNMENT SECURITIES SERIES,
A MUTUAL FUND.
MEMBER FAILED TO MAINTAIN A MINIMUM NET
CAPITAL OF $19,757 FOR PERIOD ENDING OCT 31, 1986.
V.J. MCGUINNESS CO. (NOW ENDEAVOR GROUP),
UNDER CONTROL OF JAMES A. SHEPHERDSON, ALLEGEDLY VIOLATED SEC
RULES BY FAILING TO MAINTAIN SUFFICIENT NET CAPITAL, KEEP
RELATED RECORDS, GIVE IMMEDIATE TELEGRAPHIC NOTICE THEREOF AND
FILE A CORRECTIVE REPORT.
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VIOLATION OF NASD CONDUCT RULES 2110, 2440
AND 3110
REGISTRATION IS SUBJECT TO REVOCATION BASED
UPON AN ACCEPTED LETTER OF ACCEPTANCE, WAIVER AND CONSENT (AWC)
ISSUED BY THE NASD IN AUGUST 1997 (AWC #C1097068).
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CUSTOMER ALLEGED THAT INVESTMENTS IN THE PRUDENTIAL-BACHE ENERGY GROWTH FUND AND SUMMIT TAX EXEMPT L/
ALLEGED A VIOLATION OF NEBRASKA INSURANCE LAW
NEB REV STAT 44-4028 (6) AND DEPARTMENT REGULATION 19.
FAILURE TO DISCLOSE AN ADMINISTRATIVE ACTION BY THE STATE OF NEBRASKA.
ENTERED SECURITIES TRANSACTION WHILE NOT
BEING REGISTERED IN THE STATE OF VERMONG.
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CONTRAVENTION OF SEC RULE 15C2-4
THE ALLEGATIONS WHICH GAVE RISE TO THE CONSENT ORDER RELATED TO A CUSTOMER COMPLAINT FILED BY MICHAEL G. M
OKLAHOMA SECURIITIES COMMISSION CAME TO THE
CONCLUSION THAT I SHOULD BE REGISTERED AS A REGISTERED
INVESTMENT ADVISOR.
SEE BELOW
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MASSACHUSETTS SECURITIES DIVISION ISSUED AN
ADMINISTRATIVE PROCEEDING AGAINST APPLICANT ALLEGING THAT A
MISLEADING DOCUMENT WAS FILED IN CONNECTION WITH IT'S
APPLICATION FOR REGISTRATION.
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ALLEGATIONS WERE THAT I HAD VIOLATED ILLINOIS
INSURANCE LAWS BY WILLFULLY, WANTONLY, AND FRAUDENTLY
MISREPRESENTING TO THE CLIENTS ON THE SALE OF A FIXED ANNUITY.
ACCEPTED CASH AND CHECKS PAYABLE TO THE
BROKER/DEALER
VIOLATION OF ARTICLE III, SECTIONS 1 AND 27 OF THE RULES OF FAIR PRACTICE.
A STATEMENT OF CHARGES ALLEGED VIOLATION OF
RULES 723, 724(A) 408(A) AND CLAIMED THE FC ENGAGED IN CONDUCT
INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE.
THAT THE FIRM WITH WHICH I WAS ASSOCIATED AS
A PRINCIPAL WAS DEFICIENT BY $2,804 NET CAPITAL ($25,000
REQUIRED $22,196 ACTUAL) ON MARCH 30, 1990.
FAILURE TO PROPERLY SUPERVISE SALESMAN
PERMITTED SALESMAN TO TRANSACT BUSINESS BEFORE STATE HAD
FINALIZED TRANSFER OF LICENSE.
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EXERCISED DISCRETION IN AN OPTION ACCOUNT IN 1982. SUBMITTED AN OPTIONS CARD WITH FALSE INFORMATION AND A
EXCERCISED DISCRETION IN AN OPTIONS ACCOUNT IN 1982. SUBMITTED AN OPTIONS CARD WITH FALSE INFORMATION AND
ALLEGES VIOLATIONS OF EXCHANCE RULES 4.1 AND
9.9 IN RELATION TO THE SPOENEMAN AND MONTE ACCOUNTS.
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FROM APRIL 1, 1998 THROUGH ON OR ABOUT SEPT. 30, 1998 THE SUBJECTS ENTERED OPTION ORDERS WITH FLOOR BROKER
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NO CUSTOMER COMPLAINT; NASD ALLEDGED THAT
"AMT" ENGAGED IN SEVERAL GOVERNMENT ADJUSTED TRADES, ALSO THAT
HE VIOLATED ARTICLE III, SECTIONS 1, 18 & 21 OF THE ASSOCIATION
RULES OF FAIR PRACTICE, NO CUSTOMER DAMAGE NOR A MEMBER FIRM
DAMAGE.
THE STATE OF WASHINGTON ALLEGES THAT ANTHONY CAPOZZA AND CAPSTONE INVESTMENTS DID NOT DETERMINE SUITAB
THE ALLEGATIONS INCLUDE VIOLATIONS OF CORPORATE SECURITIES LAW SECTIONS 25216(1) AND 25401, AS WELL AS REGU
THE NASD ALLEGED THAT AS BRANCH MANAGER I
FAILED TO PROPERLY SUPERVISE THE ACTIVITIES OF ACCOUNT EXECUTIVE
AGOSTINO ZOLEZZI.
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FAILURE TO SUPERVISE
COMPLAINT ALLEGES THAT PRICES ON NINE (9) SECURITIES TRANSACTIONS WERE NOT BASED ON FAIR AND REASONABLE MA
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COMPLAINT ALLEGED THAT APPLICANT, WHILE
EMPLOYED WITH ANOTHER MEMBER FIRM, FAILED AND NEGLECTED TO
SUPERVISE PROPERLY THE FINANCIAL & OPERATIONS PRINCIPAL.
ALLEGED VIOLATION OF ARTICLE III SECTION OF
THE ASSOCIATION RULES OF FAIR PRACTICE
SETTLED SEE ATTACHED NASD LETTER
TO THE BEST OF MY KNOWLEDGE, IT WAS INSIDER TRADING. I
BELIEVE IT INVOLVED THE OFFICE ANALYST & APPROXIMATELY 50
MERRILLL LYNCH BROKERS.
CENSURED AND FINE $650 FOR VIOLATION OF
ARTICLE 111, SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR
PRACTICE.
VIOLATION OF NASD MEMBERSHIP & REGISTRATION
RULE 1120 AND VIOLATION OF NASD CONDUCT RULES 2110 & 3010.
FAILED TO MAINTAIN THE MINIMUM REQUIRED NET CAPITAL.
FAILED TO PREPARE ACCURATE TRIAL BALANCE AND NET CAPITAL COMPUTATION.
FILED INACCURATE FOCUS PART II REPORT OF 06/30/2000
NASD RULES 2110 AND 3010-RESPONDENT FAILED TO MAINTAIN WRITTEN SUPERVISORY PROCEDURES, OR ADEQUATE SUPE
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FAIL TO ADEQUATELY SUPERVISE THE ACTIVITIES OF RESPONDENT SIMMONS. I ACCEPTED THE CENSURE (PUNITIVE) AND FIN
VIOLATIONS OF PROVISIONS OF THE ALABAMA INSURANCE CODE REGARDING INCORRECT ANSWER PROVIDED ON INSURANC
VIOLATION OF ARTICLE III, SECTIONS 1,2, AND 27 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE
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NASDR DISTRICT #5 SOUGHT AUTHORIZATION FOR
THE ISSUANCE OF A FORMAL COMPLAINT AGAINST MR. STOOPLER FOR
VIOLATIONS OF THE ASSOCIATION'S RULES FOLLOWING THE NASD
ARBITRATION MATTER ENTITLED SAUL VICTOR V. JULIAN STOOPLER, ET
AL.
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IT WAS ALLEGED THAT THE SALE OF UNREGISTERED
SECURITIES WERE MADE.
THE NASD ALLEGED THAT VAN CLEMENS & CO INC.
VIOLATED ART III SECT 1 & 4 OF THE RULES OF FAIR PRACTICE BY
EFFECTING SALES OF A SECURITY, AS PRINCIPAL, AT PRICES THAT
WERE NOT FAIR AND REASONABLE.
THE NASD ALLEGED THAT VAN CLEMENS & CO INC.
VIOLATED ART III, SECTIONS 1 & 4 OF THE RULES OF FAIR PRACTICE
BY EFFECTING SALES OF A SECURITY, AS PRINCIPAL, AT PRICES THAT
WERE NOT FAIR & REASONABLE.
FOUR (4) CAUSES OF ALLEGED VIOLATIONS OF
VARIOUS SECTIONS OF ARTICLE III OF RULES OF FAIR PRACTICE OF
NASD.
PRESIDENT OF VAN CLEMENS & CO A BD THAT WAS
CHARGED WITH EXCESS MARKUPS ON AGENCY COMMISSIONS
ACCEPTED SHARES IN TUCKER DRILLING AS
COMPENSATION FOR SERVICES TO THE COMPANY. I HAD PREVIOUSLY
RECOMMENDED STOCK TO CLIENTS.
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IN CONNECTION WITH THREE PRIVATE OFFERINGS
REPRESENTATED AS MINIMUM/MAXIMUM,CAUSED FUNDS TO BE RELEASED TO
ISSUER WHEN REQUIRED AMOUNTS WERE NOT RECEIVED BY DATES STATED
IN OFFERING MEMORANDUM, AGAINST SEC RULE 10B-9 AND NASD CONDUCT
RULE 2110.
VIOLATION OF NASD`S RULES OF FAIR PRACTICE.
PREVIOUSLY SUBMITTED
PREVIOUSLY SUBMITTED
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THE FIRM DID NOT NOTIFY THE STATE WHEN A BRANCH OFFICE WAS OPENED. THEY ONLY NOTIFIED THE NASD.
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THAT TAYLOR FAILED TO SUPERVISE A FORMER
EMPLOYEE AND FAILED TO EXERCISE MEASURES TO PREVENT THE
UNSUITABLE RECOMMENDATIONS, UNAUTHORIZED TRANSACTIONS AND OTHER
UNFAIR, MISLEADING AND UNETHICAL PRACTICES ENGAGED IN BY THE
FORMER EMPLOYEE OF A.G. EDWARDS.
STATE OF FLORIDA DENIED REGISTRATION DUE TO DISCIPLINARY HISTORY
NO
FAILURE TO ESTABLISH AND IMPLEMENT SUPERVISORY PROCEDURES ADEQUATE TO DETECT AND PREVENT VIOLATIONS OF A
FAILURE TO DISCLOSE ALL MATERIAL INFORMATION
ON U-4 AND FORM BD FOR SHOEMAKER SECURITIES COMPANY, INC.
SELLING SECURITIES WHILE NOT PROPERLY REGISTERED;
FAILURE TO REGISTER J. H. SHOEMAKER ADVISORY CORPORATION AS AN INVESTMENT ADVISOR IN
TENNESSEE.
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VIOLATIONS OF SEC RULE 15C3-3; FAILURE TO
MAINTAIN LEDGER ACCOUNTS; ACCOUNT PRE-APPROVAL FOR OPTION
TRADING NOT OBTAINED; NO WRITTEN PROCEDURES FOR SUPERVISION OF
DIRECT PARTICIPATION PROGRAMS; REG T VIOLATIONS; MARGIN A/C
MINIMUM EQUITY VIOLATION
PRINCIPAL IN CHARGE OF OVERSEEING FIRM'S
TRADING DEPT. WHICH WAS A MARKET MAKER IN TWO STOCKS INVOLVED
IN QUESTIONABLE EXCESSIVE MARK UPS.
ALLOWING AN UNLICENSED INDIVIDUAL UNDER MY
SUPERVISION TO ENGAGE IN TRANSACTIONS WHICH MAY BE PERFORMED
ONLY BY LICENSED INDIVIDUALS.
VIOLATION OF EXCHANGE RULE 922-FAILURE TO
SUPERVISE IN 1981 FOR SCHNEIDER BERNETT & HICKMAN
FAILURE TO SUPERVISE, ETC
FAILURE TO SUPERVISE, ETC.
FAILURE TO SUPERVISE
INTERPOSITIONING
VIOLATION OF NET CAPITAL
FAILURE TO SUPERVISE. FIRM'S FINANCIAL
PRINCIPAL, MICHAEL COMPTON WAS NOT PROPERLY REGISTERED WHILE
ACTING IN THAT CAPACITY
NET CAPITAL VIOLATIONS.
MASSACHUSETTS SECURITIES DIVISION ISSUED AN
ADMINISTRATIVE PROCEEDING AGAINST APPLICANT ALLEGING THAT A
MISLEADING DOCUMENT WAS FILED IN CONNECTION WITH IT'S
APPLICATION FOR REGISTRATION.
NET CAPITAL VIOLATION
SELLING A NON-REGISTERED (GEORGIA) SECURITIY
- AN INVESTIGATION WAS CONDUCTED ON THE BASIS OF THE RECEIPT
OF A SUSPENSION ORDER ISSUED BY THE COMMISSIONER OF SECURITIES
OF THE STATE OF GEORGIA ON 01/22/76.
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UNKNOWN
VIOLATIONS OF SECTION 409.20L(A) RSMO 1978
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VIOLATIONS OF SEC RULES 15C 3-3 + 15C 3-1 AND
ARTICLE III SECTIONS 1 & 19 (B) OF THE ASSOCAITIONS RULES OF
FAIR PRACTICES.
IT WAS ALLEGED THAT PERPETUAL INVESTMENT
ASSOCIATES VIOLATED NET CAPITAL GUIDELINES BY INCLUDING THE
DEPOSIT TO OUR CLEARING AGENT AS QUALIFIED NET CAPITAL.
AS A BRANCH MANAGER I ALLOWED A BROKER TO MAKE A MAILING ON A PRIVATE PLACEMENT.
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ALLEGED VIOLATIONS OF ARTICLE III, SECTION 1
OF THE ASSOCIATION'S RULES OF FAIR PRACTICE IN CONNECTION WITH:
FAILURE TO MAINTAIN THE MINIMUM REQUIRED NET CAPITAL FOR THE
MONTH ENDING DECEMBER 31, 1978.
ALLEGE VIOLATIONS OF ARTICLE III, SECTION 1
OF THE RULES OF FAIR PRACTICE
ALLEGE EXCESSIVE MARK-UPS OR COMMISSION;
VIOLATION OF MSRB RULES G17 AND G30(A) AND SCHEDULE D, PART
1(C)(3)(C)(I) OF THE ASSOCIATION'S BY-LAWS
ALLEGE VIOLATIONS OF ARTICLE III SECTIONS 1
AND 27(A) OF THE RULES OF FAIR PRACTICE IN THAT PUTNAM FAILED
TO ENFORCE SUPERVISORY PROCEDURE AND SUPERVISE THE ACTIVITIES
OF RESPONDENTS WILLARD AND COMBS.
FAILURE TO SUPERVISE
VIOLATIONS OF ARTICLE III, SECTIONS 1, 2, 18, 19, 21, 27 AND 33, APPENDIX E, SUBSECTIONS 16, 18,
19 AND 20 OF THE RULES OF FAIR PRACTICE
MR. ROWADY WAS A PRINCIPAL OF A SECURITIES
BROKER-DEALER THAT WAS ALLEGED TO HAVE VIOLATED SEC GUIDELINES
SPECIFIC TO RECORDS-KEEPING, BROKER-DEALER REGISTRATION
REGULATIONS, NET-CAPITAL AND CREDIT VIOLATIONS AND FAILURE TO
SUPERVISE.
STATE OF KS FILED AN ADMIN HEARING IN US
DISTRICT COURT, DISTRICT OF KS AGAINST R G DICKINSON & CO, AND
GERALD D RIEDL ALLEGING EXCESSIVE MARKUP OR COMMISSION WAS
CHARGED & AN UNREASONABLE PROFIT WAS RECEIVED RELATING TO 4
MUNICIPAL BOND ISSUES.
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REVIEW OF SALE OF CLOSELY HELD STOCK,
REGISTERED INVESTMENT ADVISER ACTIVITIES.
ENGAGED IN A SECURITIES BUSINESS WHEN THE FIRM'S NET CAPITAL WAS BELOW THE REQUIRED MINIMUM. FAILED TO EST
VIOLATION OF ARTICLE III, SECTIONS 1,21,27
AND 33
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FAILED TO FILE FOCUS PART 1 REPORTS WITHIN
TEN BUSINESS DAYS AFTER THE MONTHS OF DECEMBER 1982 AND
JANUARY, FEBRUARY, MARCH AND APRIL OF 1983
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NASD ALLEGES THAT DURING THE PERIOD FROM
OCTOBER 1976 - DECEMBER 1976, PEREMEL AND ASSOCIATES AND HAROLD
PEREMEL SOLD 5 LIMITED PARTNERSHIPS WHICH WERE NOT REGISTERED.
NASD ALLEGED THAT THE APPLICANT AND PEREMEL &
CO, INC. OFFERED INTEREST IN PARTNERSHIPS TO THE PUBLIC WHICH
WERE NOT PROPERLY REGISTERED.
IT WAS ALLEGED THAT TWO ACCOUNT EXECUTIVES
UNDER SUPERVISION OF THE APPLICANT WERE FOUND TO BE SELLING
UNREGISTERED STOCK IN A VENTURE CAPITAL PROJECT WHICH WAS
CONTRARY TO THE BROKERS/DEALER'S RULES AND NASD REGULATIONS.
FAILURE TO AMEND HIS UNIFORM APPLICATION FOR
SECURITIES INDUSTRY REGISTRATION (FORM U-4) TO DISCLOSE CERTAIN
CUSTOMER COMPLAINTS.
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SALES OF MUNICIPAL SECURITIES AT PRICES WHICH
WERE NOT FAIR AND REASONABLE.
STEPHEN POSNER MISTAKENLY ACCEPTED AN ORDER
PRIOR TO THE FIRM'S COMPLETION OF ITS MARYLAND REGISTRATION
REQUIREMENTS.
THE COMPLAINT ALLEGES THAT MR. WILKIE, ACTING
IN HIS CAPACITY AS BRANCH OFFICE MANAGER, FAILED TO ADEQUATELY
AND PROPERLY SUPERVISE A FORMER REGISTERED REPRESENTATIVE OF
BLUNT ELLIS & LOEWI INCORPORATED.
VIOLATION OF NASD AND SEC ADVERTISING AND
SALES LITERATURE RULES.
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FAILURE TO SUPERVISE PROPERLY
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FREE RIDING FINED $250.00
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FALSIFIED EMPLOYMENT APPLICATION AS TO MY AGE.
VIOLATION OF EXCHANGE RULE 342(A) IN THAT HE
FAILED TO REASONABLY DISCHARGE HIS DUTIES AND OBLIGATIONS IN
CONNECTION WITH HIS SUPERVISION OVER THE ACTIVITIES OF AN
EMPLOYEE.
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UPON REVIEWING A NYSE DECISION, THE DELAWARE
SECURITIES DIVISION INITIATED AN INVESTIGATION WHICH SOUGHT TO
REVOKE THE FINANCIAL ADVISOR'S DELAWARE REGISTRATION.
AS A BRANCH MANAGER OF THREE BRANCHES FOR
BACHE, IT WAS ALLEDGED THAT I FAILED TO SUPERVISE ONE BROKER,
LAMBERT, WHO VIOLATED THE RULES OF THE EXCHANGE ACT.
VIOLATION OF NEW YORK INSURANCE LAW 2110, AN INSURANCE APPLICATIOON SUBMITTED ON MY BEHALF CONTAINED IN
1) VERBAL MISREPRESENTATION WITH REGARD TO
HIS GOVERNMENT SECURITIES PORTFOLIO
2) PREPARATION OF MISLEADING SALES LITERATURE
ALLEGED MISREPRESENTATION, OMISSION OF MATERIAL FACTS & INTENT TO WORK A FRAUD IN CONNECTION WITH THE OF
VIOLATIONS OF NASD CONDUCT RULE.
VIOLATIONS OF NASD CONDUCT RULE.
UNSUITABLE OPTIONS TRADING
LACK OF SUPERVISION RE: BROKER BILL ROSENBYER
FAILURE TO REGISTER IN THE STATE OF OREGON IN
A TIMELY FASHION.
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TO HAVE VIOLATED CHAPTER 507B, CODE OF IOWA
AND UNFAIR AND DECEPTIVE. RAN ADVERTISEMENT IN VIOLATION OF
SECTION 191-15.44(16) STATING INTEREST RATE HIGHER THAN
GUARANTEED RATE; NAME OF INSURER NOT CLEARLY IDENTIFIED.
COMPLAINT ALLEGES THAT WHILE EMPLOYED WITH
PRUDENTIAL SECURITIES, KIMBALL ENGAGED IN CONDUCT THAT RESULTED
IN THE MISHANDLING AND/OR MISUSE OF THE SANTA BARBARA BRANCH
OFFICE BUDGET WHICH VIOLATED CONDUCT RULES 2110.
STATE OF COLORADO FOUND THAT I MISUNDERSTOOD
THE PROVISIONS OF THE AUTHORIZATION AGREEMENT FROM FIRST TRUST
CORPORATION CONCERNING A CLIENT. THE STATE FOUND THAT I
VIOLATED CERTAIN PROVISIONS OF THE STATE LAW.
THE DBCC ALLEGED THAT MR. KELLEY FAILED TO
ADEQUATELY AND PROPERLY SUPERVISE AN I.E. WHO PARTICIPATED IN
PRIVATE SECURITY TRANSACTIONS INVOLVING 16 CUSTOMERS WITHOUT
PRIOR WRITTEN NOTICE AND APPROVAL FROM DAIN BOSWORTH.
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VIOLATION OF NASD PROCEDURAL RULE 8210 AND NASD CONDUCT RULE 2110
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VIOLATIONS OF SECTIONS 10b and 10b-5
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I WAS ACCUSED OF NOT POSTING A REPLACEMENT BOND FOR LICENSED BROKER-DEALERS.
VIOLATING SECTION 5 OF THE GEORGIA SECURITIES
ACT 1973. NO ACTUAL OR ALLEGED DAMAGES OR CLAIMS.
10/14/83 GA. INJUNCTION ORDER - ENJOINED BY
THE STATE OF GA FROM VIOLATING SECTION 5 OF THE GA SECURITIES ACT OF 1973 AS AMENDED.
SAID INJUNCTION WAS VACATED ON 3/16/93 (GA DOCKET CASE # C88986)
THE STATE OF INDIANA SUSPENDED MY LICENSE AUTOMATICALLY UPON LEARNING OF MY ONE YEAR SUSPENSION BY GEORG
LACK OF REGISTRATION
NET CAP VIOLATION
NET CAP VIOLATION
NET CAP VIOLATION
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NASD COMPLAINT ALLEGED THAT MR. HUNTER FAILED
TO SUPERVISE AN EMPLOYEE WHO VIOLATED AN NASD SYNDICATE RULE.
THE SECURITIES AND EXCHANGE COMMISSION
ALLEGED THAT MR. HUNTER AND OTHERS VIOLATED ANTI-FRAUD
PROVISIONS IN CONNECTION WITH THEIR FIRM'S PARTICIPATION IN A
PUBLIC OFFERING.
* I WAS CHARGED AS BRANCH MANAGER OF THE
CLAYTON, MO OFFICE WITH HAVING FAILED TO PROPERLY SUPERVISE THE
ACTIVITIES OF A BROKER IN MY OFFICE, BROKER IS NOW DECEASED
##################################################################################
Not Provided
CONDUCT INCONSISTENT WITH JUST EQUITABLOE
P.O.T. DUE TO BANKRUPTCY & NYSE DISCIPLINARY ACTION.
DENIAL OF LICENSE BY ARIZONA 1/83 -
APPLICATION WITHDRAWN AFTER NOTIFICATION OF POTENTIAL DENIAL
AGAIN.
FINANCIAL INTEREST IN CO-BROKER ACCT EXCERISE
DISCRETION CONDUCT INCONSISTENT WITH EQUITABLE POT
FROM BACHE & CO REPRIMAND
DENIAL OF LICENSE ON "UNWORTHINESS &
DISCIPLINARY HISTORY" ON PRIME FACTOR EVIDENCE.
NOTICE OF INTENT TO REVOKE LICENSE
IT IS ALLEGED THAT I SOLD UNREGISTERED SECURITIES TO AN ALABAMA RESIDENT.
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SOLD SHARES OF APPLE COMPUTER IN A MANNER INCONSISTENT WITH NASD'S FREE-RIDING AND WITHHOLDING INTERPRET
FAILING TO REASONABLY SUPERVISE A REGISTERED REPRESENTATIVE.
1) ENGAGED IN FOUR SECURITIES TRADES WITHOUT
THE CUSTOMERS AUTHORITY 2) GUARANTEED TO A CUSTOMER THAT HE
WOULD PERSONALLY MAKE UP LOSSES FOR ONE TRADE. 3) BORROWED
MONEY FROM A CUSTOMER 4) NOT LICENSED IN ANY CAPACITY WITH THE
STATE OF IDAHO
FAILED TO INFORM SUPERVISOR OF A WRITTEN
CUSTOMER COMPLAINT
OUR AUDITOR FAILED TO MAKE A TIMELY FILING OF
OUR ANNUAL AUDIT. OUR FIRM WAS FINED $500. I WAS THE INDIVIDUAL
IN CHARGE.
FAILURE TO REASONABLY SUPERVISE THE
PREPARTION OF MY MEMBER ORGANIZATION EMPLOYER'S COMPUTATION OF
ITS RESERVE REQUIREMENT- VIOLATION OF RULE 342(A).
WISCONSIN ALLEGED THAT CERTAIN NOTES AND
PARTNERSHIPS WERE SECURITIES WHICH REQUIRED REGISTRATION.
AMOUNTS: NOTE 1,243,000 MORTGAGES 1,030,000 PARTNERSHIPS
110,000
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SHOW CAUSE ORDER
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FAILURE TO SUPERVISE WAS FINED $10,000
JOINTLY AND SEVERELY WITH HEIDTKE & COMPANY FOR ALLEGED MARK-UP
VIOLATIONS INVOLVING PRIMARILY A LOCAL DESIGNATED SECURITY
FAILURE TO SUPERVISE AN EMPLOYEE
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I GUARANTEED A CUSTOMER A RETURN ON SECURITY
INVESTMENT & PROMISED TO MAKE UP THE DIFFERENCE PERSONALLY.
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ALLEGED THAT MR. JOHNSON VIOLATED WYOMING
UNIFORM SECURITIES ACT W.S. 17-4-103(A) BY TRANSACTING
SECURITIES BUSINESS IN A CLIENT`S ACCOUNT BEFORE HIS
REGISTRATION IN WYOMING WAS APPROVED.
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EFFECTING DISCRETIONARY TRANSACTIONS WITHOUT FIRST OBTAINING WRITTEN DISCRETIONARY AUTHORITY FROM A CUST
FAILURE TO SUPERVISE
FAILURE TO PROPERLY SUPERVISE ALLEGED
DAMAGES: UNSPECIFIED.
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HILL SOLD A NEW ISSUE TO A CUSTOMER WHO WAS A REGISTERED REPRESENTATIVE ACCORDING TO THE NASD. THE CUSTOM
MADE UNSOLICITED TRADES IN ARK
MADE SMALL NUMBER OF UNSOLICITED SALES TO A RELATIVE IN THE STATE OF IOWA.
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VIOLATION OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE BY SUBMITTING THREE INACCURATE FREE-RIDING AND
ALLEGATIONS OF FAILURE TO SUPERVISE PROPERLY A REGISTERED REPRESENTATIVE ACTIVITIES WITH RESPECT TO OBTAININ
FAILURE TO COMPLY WITH RESTRICTION
LETTER;FAILURE TO MAINTAIN REQUIRED NET CAPITAL;FAILURE TO
PROPERLY SUPERVISE EMPLOYEES; FAILURE TO REQUIRE PROPER
REGISTRATION.
VIOLATION OF SEC RULES; 15C 2-4,106-9,15C
34-1,17A-3,17A-5
ALLEGED VIOLATION OF EXCHANGE RULE 345.17
NEW YORK STOCK EXCHANGE ALLEGED THAT I
ENGAGED IN CONDUCT INCONSISTENT WITH JUST AND EQUITABLE
PRINCIPLES OF TRADE.
THAT A REGISTERED REPRESENTATIVE IN THE
BRANCH OFFICE I SUPERVISED MISAPPROPRIATED MONEY FROM CLIENTS,
AND THAT MY FIRM AND I FAILED REASONABLY TO SUPERVISE THE
REGISTERED REPRESENTATIVE.
FAILURE TO SUPERVISE
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VIOLATION OF SECTION 1, ARTICLE III OF THE
RULES OF FAIR PRACTICE
OHIO DIVISION OF SECURITIES ISSUED A NOTICE OF INTENT TO DENY APPLICATION BASED ON EVENTS OCCURING BETWEEN 1
CONDUCT IN CONTRAVENTION OF SEC RULE 10B-9
AND ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE IN
CONNECTION WITH THE OFFER AND SALE OF LIMITED PARTNERSHIP
INTERESTS IN BETWEEN THE LINES LIMITED PARTNERSHIP AND
PLEASANTON DEVELOPMENT COMPANY, L.P.
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FAILURE TO REASONABLY SUPERVISE.
FAILURE TO UPDATE AND DISCLOSE INFORMATION
REQUIRED BY FORM U-4. (FAILURE TO DISCLOSE A BANKRUTPCY
PETITION ON OR ABOUT 10/27/94)
FAILURE TO SUPERVISE THE ACTIVITIES OF EACH IAR OF MY RIA FIRM.
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VIOLATION OF ARTICLE III, SECTIONS 1 AND 27
OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
ALLEGES THAT I TRANSACTED BUSINESS AS AN
UNREGISTERED AGENT.
NET CAPITAL DEFICIENCY FOR THE FIRM OF WHICH
I WAS A PRINCIPAL.
VIOLATION OF RULES OF FAIR PRACTICE
NOT OF GOOD BUSINESS REPUTE
MY SECURITIES LICENSE WAS SUSPENDED PENDING A
HEARING RELATING TO ANCHOR SECURITIES INC. A SALESMAN
ALLEGEDLY DISCRETIONED ACCOUNTS. AS AN OFFICER I WAS ACCUSED
OF LACK OF SUPERVISION
THE STATE OF OHIO ISSUED A NOTICE OF INTENT TO REVOKE OHIO LICENSE AND NOTICE OF OPPORTUNITY FOR HEARING BA
FAILURE TO SUPERVISE MISREPRESENTATION NO
DAMAGES
SELLING SECURITIES WHILE NOT LICENSED IN
STATE (TO ONE PERSON ONLY).
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PHL 632 - NET CAPITAL & RESERVE COMPUTATION
ERRORS, RESULT IN FILING A INACCURATE FOCUS.
PHL 565 - NET CAPITAL & RESERVE COMPUTATION
ERRORS & UNRECONCILED BANK ACCOUNT RESULTING IN FILING A
INACCURATE FOCUS.
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RULE VIOLATION
VIOLATIONS OF THE SECURITIES EXCHANGE ACT OF
1934 SECTION 10(b) AND RULE 106-5 THEREUNDER, AS WELL AS
SECTION 16(c) (1) AND RULE 15 (c) 1-2.
FAILURE TO PROVIDE DETAILS OF TWO (2) NASD
COMPLAINTS.
OMISSION OF INFORMATION ON FORM FILINGS WAS
ALLEGED BY THE STATE OF DELAWARE AGAINST E.F. HUTTON & KEN
CATANELLA
ALLEGED EXERCISING UNAUTHORIZED DISCRETION IN
CUSTOMER ACCOUNT.
VIOLATING CFTC REGULATION
1.56(C)-GUARANTEEING CUSTOMERS AGAINST LOSS
A LIMITED PARTNERSHIP HAD BEEN EXTENDED AND THE INSPECTOR COULD NOT FIND A RECORD OF THE EXTENSION. I WAS
FAILING TO MAINTAIN NET CAPITAL, NET CAPITAL
COMPUTATIONS, TRAIL BALANCES, FILE ADVERTISING, AND MAINTAIN
WRITTEN SUPERVISORY PROCEDURES.
ENGAGED IN THE DISTRIBUTION OF LIMITED PARTNERSHIP INTEREST TO TWO CUSTOMERS THAT WERE LATER DETERMINED
THE FOCUS REPORT PART I FOR NOVEMBER, 1987 WAS FILED 4 DAYS LATE.
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FAILURE TO SUPERVISE RESULTING IN ALLEGED
VIOLATIONS OF VARIOUS FEDERAL SECURITIES LAWS, RULES AND
REGULATIONS, THE NATIONAL BANK ACT AND CERTAIN RULES OF THE
MSRB.
VIOLATION OF CONDUCT RULES 2110 AND 3010.
VIOLATION OF CONDUCT RULES 2110 AND 3010.
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SEC RULE 15C3-1 NET CAPITAL LESS THAN REQUIRED FOR PERIOD OF TIME; AND FAILED TO FILE NOTIFICATION OF NET CAPIT
FAILED TO ADEQUATELY SUPERVISE SALES PRACTICES OF 2 SALEMEN BY FAILING TO ENSURE THE FIRMS SUPERVISORY PROCE
SEC RULE 15C3-1 NET CAPITAL LESS THAN REQUIRED FOR PERIOD OF TIME; AND FAILED TO FILE NOTIFICATION OF NET CAPIT
VIOLATION OF SEC RULE 15C3-1 WHEN NET CAPITAL LESS THAN REQUIRED AND PREPARED INACCURATE NET CAPITAL COMP
VIOLATION OF SEC RULE 15C - 3 WHEN FIRM INCURRED A RESERVE ACCOUNT DEFICIENCY ON TWO OCCASIONS; AND, FAILED
VIOLATION OF SEC RULE 15C3-3 FOR INACCURAT RESERVE COMPUTATIONS; AND, SEC RULE 15C3-1 WHEN NET CAPITAL WAS
VIOLATION OF SEC RULE 15C3-1 WHEN NET CAPITAL WAS LESS THAN REQUIRED; SEC RULE 17A-5 FOR INACCURATE FOCUS I &
BROUS APPLIED FOR REGISTRATION IN THE STATE OF VERMONT. VERMONT IMPOSED REGISTRATION CONDITIONS PRIOR TO
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BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
STATE REVIEWED REGISTRATION OF APPLICANT FOR SECURITIES SALESPERSON LICENSE BASED UPON PRE-EXISTING DISCLOSU
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, STATE REQUIRED CERTAIN LIMITED RESTRICTIONS ON AGENT'S ACTIVITIES
FAILURE TO DISCLOSE A CUSTOMER COMPLAINT ON
AN APPLICATION FOR REGISTRATION.
CAUSING OR VIOLATING EXCHANGE RULES 342(A) AND (B; RULE 342(D); 342.13; 342.16; 342; 345(A); 345(B); 345.11; AND 40
FAILURE TO SUPERVISE TWO BROKERS WHO ALLEGEDLY
MISHANDLED CUSTOMER ACCOUNTS.
ACCEPTED THIRD PARTY ORDERS WITHOUT PRIOR WRITTEN AUTHORIZATION.
NO DISCLOSURE OF PERSONAL BANKRUPTCY ON U-4
##################################################################################
VIOLATIONS OF ARTICLE III, SECTION I OF THE
ASSOCIATION'S RULES OF FAIR PRACTICE.
##################################################################################
NON PAYMENT OF RENEWAL FEE
VIOLATIONS OF SECTIONS 1, 12 AND 21 OF ARTICLE III OF THE RULES OF FAIR PRACTICE AND RULES G-8 AND G-3D OF THE MU
SEE QUESTION 13
##################################################################################
CARTY & COMPANY INC. HAD SOLD SECURITIES
THROUGH UNREGISTERED SALESMEN.
CARTY & COMPANY, INC. HAD TRANSACTED BUSINESS
IN VIRGINIA AS A BROKER/DEALER WITHOUT BEING SO REGISTERED AND
HAD EMPLOYED UNREGISTERED AGENTS.
ILLINOIS NOTIFIED CARTY & COMPANY, INC. THAT
IT POSSIBLY VIOLATED THE LAW BY SELLING SECURITIES IN ILLINOIS
WHILE UNREGISTERED AS A DEALER.
CARTY & COMPANY, INC. EMPLOYED A SALESMAN TO
SELL SECURITIES IN NORTH CAROLINA AT A TIME WHEN THE SALESMAN
WAS UNREGISTERED IN NORTH CAROLINA.
CARTY & COMPANY, INC. HAD ACTED AS A
BROKER/DEALER IN MONTANA WHILE NOT REGISTERED IN MONTANA AS A
BROKER/DEALER.
CARTY & COMPANY, INC. HAD FAILED TO SUPERVISE
AGENTS WHO HAD TRANSACTED BUSINESS IN ARKANSAS WHEN UNREGISTERED
IN ARKANSAS.
CARTY & COMPANY, INC. AND BILL R. CARTY HAD
OFFERED AND/OR SOLD MUNICIPAL BONDS TO GEORGIA RESIDENTS AT A
TIME WHEN THEY WERE NOT REGISTERED AS DEALERS OR SALESMEN.
CARTY & COMPANY, INC. HAD EMPLOYED SALESMEN
WHO WERE NOT REGISTERED IN ALABAMA TO SELL IN ALABAMA.
I TRANSACTED BUSINESS IN MUNICIPAL BONDS PRIOR
TO MY LICENSE BEING EFFECTIVE IN TENNESSEE, AND DID NOT DISCLOSE
SEVERAL PRIOR DISCIPLINARY MATTERS ON MY APPLICATION FOR AN
AGENTS LICENSE IN TENNESSEE.
THE COMMISSIONER ISSUED AN ORDER OF SHOW CAUSE FOR AGENT REGISTRATION REVOCATION BASED UPON FILINGS WIT
ALLEGED VIOLATIONS OF ARTICLE III SECTION 1 &
19(e) OF RULES OF FAIR PRACTICE IN THAT BROWER EXECUTED A
WRITTEN GUARANTEE AGAINST LOSS IN A CUSTOMER ACCOUNT
UNAUTHORIZED TRADING
N/A
IT IS ALLEGED IN THE STATEMENT OF CHARGES THAT BROWN, WHILE EMPLOYED BY BECKER SECURITIES CORP., CHANGED AC
VARIOUS BOOKKEEPING VIOLATIONS
##################################################################################
NO ALLEGATION. I BELIEVED THAT PASSING THE
NYSE PRINCIPALS EXAM QUALIFIED ME AS PASSING THE NASD
PRINCIPALS EXAM (S24). ACTUALLY IT DID BUT SHEARSON FAILED TO
NOTIFY THE NASD IN 1983 SO IT DID NOT COUNT IN 1993.
VIOLATIONS OF ARTICLE III SECTIONS 1,2,15 (B)
18 19(E) AND 27 OF RULES OF FAIR PRACTICE.
COMPLAINT ALLEGATIONS OF VIOLATIONS OF
SECTION 1 OF ARTICLE III OF RULES OF FAIR PRACTICE. I WAS AWARE
OF ONE APPLICATION FOR REGISTRATION THAT HAD A FALSIFIED
EMPLOYMENT DATE.
ALLEGATIONS OF FAILURE TO COMPLY WITH SECTION 13(D) OF THE EXCHANGE ACT AND RULE 13D-1 THEREUNDER.
VIOLATION OF ARTICLE III, SECTION 1, NASD
RULES OF FAIR PRACTIVE "FREERIDING AND WITHHOLDING"
INTERPRETATION
SEE BELOW
WAS FOUND TO HAVE MADE A MISSTATEMENT IN A
APPLICATION TO THE EXCHANGE IN THAT (1) HE FAILED TO REPORT
THAT HE HAD BEEN ARRESTED (2) HE FAILED TO REPORT THAT HE HAD
BEEN THE SUBJECT OF AN INVESTIGATION BY THE EXCHANGE.
DISCIPLINED AS A MANAGER FOR BROKER WHO GUARANTEED A LOSS FOR A CUSTOMER. ARBITRATION COMMITTEE SAID I H
* VIOLATION OF ARTICLE III SECTION 1 RULES OF
FAIR PRACTICE
UNLAWFULLY TRANSACTED BUSINESS IN THE
COMMONWEALTH OF VA AS UNREGISTERED INVESTMENT ADVISOR
REPRESENTATIVE
FIRM NOT REGISTERED IN KANSAS. BY ORDER OF
OCTOBER 8, 1978 ARNOLD M. AXELROD WAS PROHIBITED BY THE KANSAS
SECURITIES COMMISSIONER FROM DOING BUSINESS AS AN AGENT FOR
OLDE & CO WITHOUT FIRST BEING LICENSED AS SUCH BY THE
COMMISSIONER.
NET CAPITAL VIOLATION, IMPROPER SUPERVISION
FAILURE TO MAKE AN AFFIRMATIVE DETERMINATION
OR ACCURATELY MARK ORDER TICKETS AS A `LONG` OR `SHORT` SALE.
##################################################################################
REVIEW OF DRP HISTORY INDICATES A NEED FOR IMPOSITION OF REGISTRATION CONDITIONS PRIOR TO APPROVAL OF APPLI
##################################################################################
NO REGISTRATION
##################################################################################
FAILURE TO COMPLETE CONTINUING EDUCATION
REQUIREMENT
##################################################################################
##################################################################################
NELSON ALLEGEDLY VIOLATED SECITON 17(A) OF
THE SECURITIES ACT OF 1933, SECTIONS 10(B) AND 15B(C) OF THE
SECURITIES EXCHANG ACT OF 1934 AND RULE 10B-5 THEREUNDER, AND
RULE G-17 OR THE MUNICIPAL SECURITIES RULEMAKING BOARD.
THE STATE ALLEGED THAT APPLICANT, WHILE A REGISTERED REPRESENTATIVE OF HIBBARD BROWN,
ENGAGED IN HIGH
PRESSURE SALES TACTICS AND OMITTED TO DISCLOSE INFORMATION TO A WISCONSIN CLIENT.
##################################################################################
ALLEGATIONS, AS STATED IN THE COMPLAINT, INCLUDE UNETHICAL PRACTICES IN THE SECURITIES OR INSURNACE BUSINESS
##################################################################################
STATE OF ILLINOIS BROUGHT FOLLOW-ON REGISTRATION REVOATION PROCEEDIN ON THE BASIS OF THE SETTLEMENT WITH
NET CAP VIOLATIONS
ALLEGES AGENT MADE MATERIAL
MISREPRESENTATIONS AND OMISSIONS IN DEALING WITH GEORGIA
RESIDENTS
##################################################################################
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AWC SUMMERY: SHL AND ELVERUD; NASD CONDUCT RULES 2310, 2110, 2210(D)(1)(A), 2710(B)(6)(A)(VI);2710(C)(2)(C),2710
RESPONDENT'S REGISTRATION AS A SALESPERSON IN THE STATE OF IL IS SUBJECT TO REVOCATION PURSURANT TO SECTION
##################################################################################
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NET CAPITAL COMPUTATION DEEMED INCORRECT
##################################################################################
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##################################################################################
WHILE PREVIOUSLY REGISTERED WITH ANOTHER FIRM
(INVESTACORP) I FAILED TO TIMELY DISCLOSE A PERSONAL BANKRUPTCY
FILING ON FORM U4
Not Provided
DENIAL BASED ON ALLEGED TERMINATIONS FROM LANDMARK WHICH IS FALSE; AND H.D. BROUS WHICH WILL BE FOUGHT IN
##################################################################################
##################################################################################
APPLICANT FILED A MATERIALLY INCOMPLETE APPLICATION.
##################################################################################
NOT SUFFICIENT CAPITAL AS REQUIRED BY SEC 15C
AND RULE 15C 3-3
FAILED TO COMPLETE CONTINUING EDUCATION REQUIREMENTS BY DEADLINE
NO REGISTRATION
ALLEGATIONS INCLUDE THAT TASIN & COMPANY INC. AND MYSELF CHARGED EXCESSIVE MARKUPS AND FAILED TO DISCLOSE
THE STATE OF OHIO ISSUED AN ORDER BASED ON A SEPARATE DECISION BY THE NASD THAT IS ALREADY DISCLOSED #C10010
NO ALLEGATIONS. THIS MATTER WAS BASED ON A REGULATORY ACTION INITIATED BY THE NASD-OCCURRENCE # 1030853.
NOTICE OF OPPORTUNITY TO SHOW COMPLIANCE FOR
FAILURE TO DISCLOSE RISK FACTORS AND UNTRUE STATEMENTS OF
MATERIAL FACTS, OMISSIONS OF MATERIAL FACTS AND ENGAGED IN
DISHONEST OR UNETHICAL BUSINESS PRACTICES.
OFFER OF 1000 SHARES OF TELEFONICA DE
ARGENTINA TO A MICHIGAN RESIDENT WHILE UNREGISTERED WITH THE
STATE.
FAILURE TO TIMELY AMEND THE FORM U-4 DISCLOSING CUSTOMER COMPLAINTS.
FAILURE TO MAINTAIN RECORDS REQUIRED BY
FREE-RIDING & WITHHOLDING INTERPRETATION
YOUNG PROMOTED HIMSELF AS THE PUBLISHED
AUTHOR OF A FINANCIAL GUIDE THAT HE DID NOT WRITE. YOUNG
CONTRACTED WITH THE PUBLISHER TO HAVE YOUNG`S PICTURE AND
BIOGRAPHICAL DATA PRINTED ON THE COVER.
N/A
##################################################################################
IT WAS ALLEGED THAT I DID BUSINESS IN HAWAII
WITHOUT BEING REGISTERED AND WAS FINED 15,000.
WITHOUT AGREEING OR DENYING, THE NASD ALLEGES MYSELF AND THE FIRM JOINTLY VIOLATED RULES 2210, 2210(C)2), 22
VIOLATION OF RULE 440 SEC REGULATION 240-17A-3(6) FAILING TO MAKE A MEMORANDUM, VIOLATION OF 10(A) OF THE 3
VIOLATION OF THE "FREE-RIDING AND WITHOLDING"
MISREPRESENTATION OF THE BOARD OF GOVERNORS OF ARTICLE III,
SECTION 1 OF THE ASSOCIATION'S RULES OF FAIR PRACTICE.
VIOLATION OF NASD CONDUCT RULES 2110 AND
2440.
##################################################################################
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FAILURE TO COMPLETE MANDATORY CONTINUING
LEGAL EDUCATION REQUIREMENTS OF OKLAHOMA BAR ASSOCIATION
ALLEGED VIOLATIONS OF SECTION 11-301 AND
11-501 OF THE MARYLAND SECURITIES ACT.
BASED ON A CUSTOMER COMPLAINT, PETITION ALLEGED THAT HULEN HAD INVESTED CUSTOMER'S PORTFOLIO IN A MANNE
1.) PERMITTED AN UNREGISTERED INDIVIDUAL TO ACT IN A CAPACITY REQUIRING REGISTRATION.
2) PRIVATE PLACEMENT OFFERING DEFICIENCIES.
3) FAILURE TO SUPERVISE.
##################################################################################
THAT I WAS NOT REGISTERED IN THE STATE OF
SOUTH DAKOTA AT THE TIME I AGREED TO MAIL INFORMATION TO A
RESIDENT OF THAT STATE AT THE REQUEST OF THAT RESIDENT.
DISCIPLINARY HISTORY RAISED QUESTIONS REGARDING ISSUING AN AGENT REGISTRATION IN THE STATE OF INDIANA
##################################################################################
AWC SUMMARY: NASD CONDUCT RULE 2310, 2110, 3010(A), AND 3010(B). NOTE THAT SMALL LETTERS BECOME CAPITAL IN
RESPONDENT'S REGISTRATION AS A SALESPERSON IN THE STATE OF IL IS SUBJECT TO REVOCATION PURSURANT TO SECTION
##################################################################################
FOR THE PERIOD FROM SEPTEMBER 1996 THROUGH MARCH 5, 1999, ACTING AS A GENERAL SECURITIES PRINCIPAL (SERIES 2
THE DEPARTMENT ALLEGES THAT RESPONDENT ARRIOLA HAD NOT COMPLIED WITH CONTINUING EDUCATION REQUIREMEN
##################################################################################
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RESPONDENT DID IN A TIMELY FASHION DID NOT AMEND HIS U-4 FOR A CUSTOMER COMPLAINT
USING DISCRETION IN CLIENT ACCOUNT WITHOUT SII APPROVAL
##################################################################################
THE STATE OF ILLINOIS IS SEEKING TO REVOKE MY REGISTRATION DUE TO A RECENT ACTION TAKEN BY THE NASD.
##################################################################################
ALLEGED VIOLATION OF CBOE RULES IN CONNECTION
WITH TRADING IN THE WILLIAM AND CAROL PAUL ACCOUNT WHILE
ASSOCIATED WITH GOLDMAN SACHS & CO.
VIOLATION OF SECTION 8-6-3(A), CODE OF ALABAMA, 1975.
RESPONDENT DISREGARDED HIS CUSTOMER'S EXPRESSLY STATED INVESTMENT OBJECTIVE TO MINIMIZE RISK AND MAINTAIN
##################################################################################
REP FAILED TO DISCLOSE ADMINISTRATIVE ACTIONS TAKEN BY THE STATE OF TEXAS WHILE APPLYING FOR AN INSURANCE LIC
##################################################################################
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FAILURE TO DISCLOSE A CHARGE OF CRIMINAL
POSSESSION OF A FORGED INSTRUMENT AND CRIMINAL POSSESSION OF
STOLEN PORPERTY, WHICH WOULD HAVE RESULTED IN A "YES" ANSWER
ON MY U-4 FILING WITH MY PREVIOUS FIRM LEW LLEBERBAUM.
THE NASD STAFF ALLEGED THAT MR. ANGELONE FAILED TO AMEND HIS U4 TO DISCLOSE TWO ARBITRATIONS IN A TIMELY M
PA SECURITIES COMMISSION ALLEGED OFFER OF LIMITED PARNTERSHIP UNITS TO NON-ACCREDITED INVESTOR BY UNLICENS
A SUMMARY SUSPENSION WAS ISSUED ON 3/23/98
DUE TO ALLEGATIONS OF SALES PRACTICE VIOLATIONS.
INVESTIGATION INITIATED BY STATE OF GEORGIA ON 02/19/2001 INVOLVING THE OFFERS FOR SALE AND SALES OF SECURITIE
SEE ATTACHED
##################################################################################
CE NEEDS ANALYSIS DEFICIENCY
STATE SECURITIES COMMISSION ALLEGED
REGISTRATION VIOLATIONS AS WELL AS FAILURE TO PROVIDE ACCESS TO
RECORDS AND RECORD KEEPING VIOLATIONS.
##################################################################################
ALLEGED MISLEADING SALES PRACTICES WITH
RESPECT TO A SOLICITATION OF A NEW MEXICO RESIDENT
FAILURE TO PROVIDE INFORMATION REQUIRED BY DIVISION FOR DUAL LICENSE.
IN AN ACTION BROUGHT AGAINST MANY OF THE
MAJOR NASDAQ MARKET MAKERS AND 51 TRADERS. THE SEC ALLEGED
VIOLATIONS OF SECTION 15(C)(1) AND (2) OF THE SECURITIES
EXCHANGE ACT OF 1934 AND RULES 15C1-2 AND 15C2-7 THEREUNDER,
AS A RESULT OF AN SEC ORDER MAKING FINDINGS AND IMPOSING SANCTIONS IN ADMINISTRATION PROCEEDING FILE NO. 3
A. SALE OF SECURITIES NOT REGISTERED UNDER
ILLINOIS SECURITIES LAW.
B. NOT BEING REGISTERED UNDER ILLINOIS SECURITIES LAW.
VIOLATION OF SECTION 8-6-3(A), CODE OF ALABAMA, 1975
IN FILING FOR AGENT REGISTRATION, RESPONDENT
FAILED TO DISCLOSE A FELONY CHARGE AND PROBATION.
VIOLATED WISCONSIN STATUTE SEC 551.31 (1) FOR SELLING SECURITIES TO RESIDENTS OF WISCONSIN WITHOUT BEING REGI
SEE SUMMARY
SCOTT D. SHERIDAN HAD ATTEMPTED TO EXERCISE OPTIONS IN VIOLATION OF A TRADING HALT GIVEN BY THE EXCHANGE. TH
SEE SUMMARY
SOLICITING WITHOUT BEING PROPERLY REGISTERED
SELLING UNREGISTERED SECURITIES
MICHAEL ANTHONY HECHME VIOLATED EXCHANGE RULE 421(A) BY ACCEPTING ORDERS FOR THE ACCOUNTS OF TWO CUSTO
STATE ALLEGES FAILURE TO DISCLOSE ON ORIGINAL U-4.
THE NASD SUSPENDED MY LICENSE FOR FAILURE TO DISCLOSE STATE ALLEGED FAILURE
TO DISCLOSE THE FIRM ALLEGED I SIGNED A CLIENTS U-9 FORM WITHOUT PROPER
AUTHORIZATION.
REVIEW OF DRP HISTORY INDICATED A NEED FOR IMPOSITION OF REGISTRATION CONDITIONS PRIOR TO APPROVAL OF THE R
FOR FAILURE TO DEMONSTRATE A BONA FIDE INABILITY TO PAY THE AMOUNT DUE UNDER A SETTLEMENT AGREEMENT TO R
FAILURE TO PROVIDE COMMITTEE ON CHARACTER,
WHICH APPROVES NEW ATTORNEYS, WITH ALL INFORMATION REQUIRED.
##################################################################################
FAILURE TO DISCLOSE BREAKPOINTS AND
UNAPPROVED CORRESPONDENCE (EMPLOYED BY ARAGON FINANCIAL
SERVICES INC. PER ACW LETTER)
NOT PROPERLY ANSWERING A QUESTION ON THE
INSURANCE LICENSE APPLICATION $500 FINE
##################################################################################
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IT WAS ALLEGED THAT MR NIPOTI WAS ACTING AS A SALESPERSON IN THE STATE OF OREGON WITHOUT BEING LICENSED TO
UNLAWFUL ACTS INVOLVING UNREGISTERED
SECURITIES, UNREGISTERED AGENTS, ANTIFRAUD VIOLATIONS.
APPLICANT WAS ALLEGED TO BE THE SUPERVISOR OF
A REGISTERED REPRESENTATIVE WHO ENGAGED IN VIOLATIONS.
THE NASD DIST #3 ALLEGED THAT I FAILED TO SUPERVISE THE ACTIVITY OF A BROKER WHILE HE WAS ASSOCIATED WITH SCHN
THE ORDER ALLEGES AMONG OTHER ISSUES THAT DURING THE PERIOD 1999 THROUGH EARLY 2001, MR. WALKER PLACED I
BETWEEN 1/1/96 AND 12/31/96 MARK WILBURN (MYSELF) SOLICITED AND RECEIVED INVESTMENT BROKERAGE COMMISSIO
FAILURE TO DISCLOSE BANKRUPTCY IN 1987 LED TO
THE LETTER OF REPREMAND FROM THE STATE OF TEXAS.
NONE. THERE WERE NO ALLEGATIONS AGAINST ME OR
MY COMPANY. I NEVER SOLD INTERESTS IN, OR IN ANY WAY
PARTICIPATED IN THE INVESTMENT OFFERING WHICH THE ORDER
STOPPED. THE D.O.C. STOPPED THE OFFERING BEFORE I WAS EVEN
AWARE OF IT.
##################################################################################
INDIVIDUAL ALLEGEDLY OFFERED UNREGISTERED SECURITIES; MISREPRESENTED OR OMITTED MATERIAL FACT IN CONNECTIO
ENTRY OF A MESSAGE IN SELECT-NET;
INAPPROPRIATE USE OF SELECTNET, A NASDAQ SYSTEM VIOLATION OF
CONDUCT RULE 2110.
##################################################################################
VIOLATION OF 12 U.S.C. 161-NO DAMAGES.
IT WAS ALLEGED THAT ACTING THROUGH MYSELF,
ALPH MUTUAL FUNDS SERVICES,INC. OPERATED A SECURITIES BUSINESS
WHILE FAILING TO MAINTAIN THE MINIMUM NET CAPITAL REQUIRED
UNDER SEC RULE 1SC3-1 AND NASD RULE 2110.
##################################################################################
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THAT I SOLD SECURITIES TO RESIDENTS OF
ARKANSAS WITHOUT BEING REGISTERED AS AN AGENT IN THE STAFF
IN 1995, I APPLIED FOR A NON-RESIDENT LICENSE IN THE STATE OF GEORGIA. DUE TO THE INCIDENT IN SOUTH CAROLINA IN
AN ORDER OF PROBATIONARY LICENSE WAS ENTERED AGAINST ME BY STATE OF GEORGIA, OF WHICH I HOLD A NON-RES LIC
##################################################################################
VIOLATION OF NASD CODE 2310, RECOMMENDING CUSTOMERS TO SWITCH VARIABLE ANNUITIES WITHOUT REASONABLE G
##################################################################################
##################################################################################
IT IS ALLEGED THAT AN ADEQUATE SUPERVISORY SYSTEM WAS NOT ESTABLISHED & ENFORCED. IT IS ALSO ALEEGED THAT T
ALLEGATIONS ARE FAILURE TO REASONABLY SUPERVISE THE SALE OF HEDGE FUND INVESTMENTS.
BOUNCED $45. CHECK TO THE DEPARTMENT OF
INSURANCE PAID ADMINISTRATIVE FINE OF $200.
FAILURE TO REPORT AN ADMINISTRATIVE ACTION &
FINE TO THE IOWA DIVISION OF INSURANCE I ENTERED A CONSENT
ORDER WITH THE STATE OF NEBRASKA DEPARTMENT OF INSURANCE ON
2/16/98.
ORDER OF DENIAL OF SECURITIES AGENTS LICENSE APPLICATION
##################################################################################
RESPONDENTS REGISTRATION AS A SALESPERSON IN
THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION BASED UPON AN
ORDER ISSUED BY THE NASD.
UNAUTHORIZED TRADING
FAILURE TO RESPOND TO DIVISION REQUEST FOR INFORMATION. EMERSON BENNETT AND
ASSOCIATES DID NOT ADEQUATELY ASSIST
ME OR WITHDRAW ME FROM THIS STATE IN TIME.
NASD STAFF RECOMMEND ACTION BE COMMENCED FOR
VIOLATION OF RESTRICTION AGREEMENT.
##################################################################################
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NASD CONDUCT RULE 2110, 3010 - FAILURE TO SUPERVISE BY PERMITTING SECURITIES TRANACTIONS WITH MARKUPS AND M
##################################################################################
THE CBOE ALLEGES THAT HULL TRADING COMPANY, SUSAN GULOTTA AND OTHERS AT HULL TRADING COMPANY VIOLATED C
CONSENT ORDER AGREEMENT SIGNED NOT TO REAPPLY
FOR REGISTRATION FOR 5 YEARS.
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THE DIVISION ALLEGED THAT MR. REUSS RECOMMENDED AN UNSUITABLE INVESTMENT TO A CUSTOMER.
ON OR ABOUT JULY 2002, MR. STRULSON SIGNED THE NAMES OF (TWO CUSTOMERS)ON ACCOUNT OPENING AGREEMENTS
BROKERS RIGISTRATION AS A SALES PERSON IN THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION PURSUANT TO SECTION 8
OFF FLOOR TRANSACTION RULE C 4.01 PROHIBITS
AN APPROVED PERSON FROM PARTICIPATING IN ANY TRADE IN ANY
LISTED SECURITY UNLESS THE TRADE IS MADE ON THE FLOOR OF THE
EXCHANGE DURING A TRADING SESSION.
FORGERY: CHANGED A DATE ON ACAT TRANSFER FORM
JULY 5, 2006 ENTERED INTO CONSENT ORDER OF WITHDRAWAL AND WILL NOT REAPPLY FOR A PERIOD OF TWO (2) YEARS.
VIOLATION OF CBOE RULES 6.2 (TRADING ROTATIONS) AND 6.51 (REPORTING DUTIES)
##################################################################################
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THE ARKANSAS INSURANCE DEPARTMENT ALLEGED I WAS IN VIOLATION OF ARKANSAS LAW IN THAT I FAILED TO COMPLY W
3/2000, NASD RULE 2110-RESPONDENT EFFECTED TRANSACTIONS IN THE ACCOUNT OF PUBLIC CUSTOMER WITHOUT THE AU
THE RESPONDENT'S SALESPERSON REGISTRATION IN ILLINOIS IS SUBJECT TO REVOCATION, PURSUANT TO NASDR ORDER ACC
##################################################################################
OMITTED DISCLOSURE OF MISDEMEANOR CRIMINAL CONVICTION ON INSURANCE LICENSE RENEWAL APPLICATION.
##################################################################################
NASD RULES 2110 AND 3010: FROM NOVEMBER 2002 THROUGH JUNE 2003, RESPONDENT DUBINSKY FAILED TO PROPERLY S
FOR NOT RESPONDING TO STATE OF SOUTH CAROLINA
IN REFERENCE TOWARDS MY APPLICATION FOR THE STATE OF SOUTH
CAROLINA, EMPLOYING FIRM IS NATIONAL SECURITIES CORP.
NASD RULE 2110, IM 2310-2--RESPONDENT, WITHOUT THE PRIOR KNOWLEDGE, AUTHORIZATION OR CONSENT OF A PUBLIC
##################################################################################
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ACTED AS DEALER/SALESMAN IN THAT I OFFERED
AND SOLD AND UNREGISTERED SECURITY WHICH WAS NOT RECORDED WITH
MY BROKER/DEALER.
ON OR ABOUT OCT 2, 1996 I PARTICIPATED IN A
PRIVATE SECURITIES TRANSACTION WITHOUT PROVIDING MY THEN
EMPLOYER WITH PRIOR WRITTEN NOTICE OF SUCH PARTICIPATION.
UNINTENTIONAL ALLEGED VIOLATION OF MINN STAT.
45.026 PER RULE 2790.0550 AND MN STAT. CH.45
FAILURE TO DISCLOSE CRIMINAL CHARGE ON
ORIGINAL U-4 FILED IN 06/1996
NASD RULES 2110, 3070 - A MEMBER FIRM, ACTING THROUGH COVLIN FAILED TO REPORT CUSTOMER COMPLAINTS AS REQU
##################################################################################
CONTRAVENED VSE RULE F.1.02 BY ACCEPTING ORDERS FROM THIRD PARTY WITHOUT HAVING ON FILE A TRADING AUTHOR
##################################################################################
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FAILURE TO DISCLOSE A CLASS B MISDEMEANOR
THEFT OF PUBLIC PROPERTY FROM 1986 ON MY INITIAL U4. THIS WAS
A VIOLATION OF TEXAS STATE STATUTE, THEREFORE, AN ORDER WAS
ISSUED AGAINST ME.
THE DEPARTMENT OF INSURANCE ISSUED THE BROKER A FINE FOR FAILING TO COMPLY WITH THE STATE'S INSURANCE RENE
UNSUITABILITY
NO REGISTRATION
HAZLEWOOD FAILED TO PAY ARBITRATION FES THAT WERE ASSESSED IN NASD CASE NO. 05-03389-FL.
THE MISSOURI DEPARTMENT OF INSURANCE SUSPENDED THE REPS INSURANCE LICENSE ON JANUARY 19, 2005 FOR FAILURE
AGENT AND FIRM SOLD SECURITIES IN NORTH DAKOTA WHILE NOT REGISTERED AS DEALERS AND AGENTS.
LIFE INSURANCE PRODUCT AD VIOLATION
DEPOSITED $3,200 INTO BANK ACCOUNT OF CUSTOMER TO COMPENSATE CUSTOMER FOR LOSS WITHOUT INFORMING BRO
APPLICANT WAS DEFICIENT IN MEETING THE REQUIREMENTS FOR CONTINUING EDUCATION
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FAILURE TO DISCLOSE INFORMATION REQUIRED BY FORM U-4
##################################################################################
ALLEGED VIOLATION OF NASD RULES 1021(A), 2110-ENGAGING IN ACTIVITIES REQUIRING A GENERAL SECURITIES PRINCIPAL
##################################################################################
NASD CRD DISCLOSED A DEFICIENT STATUS ON THE
REGISTRATION FOR MR GREGORY CLARK IN THE STATE OF ALABAMA.
NASD CONDUCT RULES 2110 AND IM-2310-2 RESPONDENT EXECUTED UNAUTHORIZED TRADES IN CUSTOMER'S ACCOUNTS
BASED ON UPON THE AWC FROM NASD, THE STATE OF ILLINOIS HAS DECIDED TO REVIEW STATE REGISTRATION.
ALLEGEDLY MR. ROVNER ENGAGED IN A PATTERN OF TRADING ACTIVITY IN THE ACCOUNT OF A PUBLIC CUSTOMER THAT WA
RESPONDENT WILL WITHDRAW HIS SALESPERSON REGISTRATION IN THE STATE OF ILLINOIS AND THE RESPONDENT WILL NOT
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AL DEPT OF INSURANCE FILED A COMPLAINT AGAINST THE REPRESENTATIVE ALLEGING FAILURE TO PROVIDE NOTICE OF A CH
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IN 1994 I NEGOTIATED A LOAN FROM A CLIENT, AND THIS WAS CONTRARY TO THE RULES OF PROFESSIONAL CONDUCT INVO
ALABAMA ALLEDGES THAT I FAILED TO NOTIFY THEM OF MY MOVE WITHIN 30 DAYS.
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DENIAL OF UNRESTRICTED INSURANCE LICENSE
ALLEGATIONS: FAILED TO REASONABLY SUPERVISE REGISTERED REPRESENTATIVES.
ALLEGATIONS: FAILED TO REPORT COMPLAINTS THROUGH 3070 REPORTING REQUIREMENTS
NASD RULE 2110 - ALLEGATIONS STATE THAT RESPONDENT PURCHASED 100 SHARES OF A COMPANY STOCK FOR THE ACCOU
DESTEFANO'S REGISTRATION IN ILLINOIS WAS SUBJECT TO REVOCATION PURSUANT TO NASD AWC - CASE NO. C9B010072
WHILE APPLYING FOR REGISTRATION, FAILED TO DISCLOSE A MISDEMEANOR CONVICTION. SUBSEQUENTLY AMENDED U4 TO
THE NASD ALLEGED THAT FROM AUGUST 2000 TO NOVEMBER 2000 MR. MANSUR PERFORMED DUTIES AS A REGISTERED PE
##################################################################################
PREVIOUSLY DISCLOSED ITEMS
IT WAS FOUND THAT I OMITTED A MISDEMENOR CHARGE, WHICH I THOUGHT WAS EXPUNGED FROM MY RECORD, BUT WAS
##################################################################################
FAILURE TO FILE NASD RULE 1017 APPLICATION FOR TRANSFER OF MORE THAN 25% OF CUSTOMER ACCOUNTS; FAILURE TO
APPLICATION FOR REGISTRATION WAS DENIED BASED ON PRIOR REGULATORY ACTION ON 7/31/2008. FINRA SUSPENDED SU
MATERIALLY INCOMPLETE APPLICATION
##################################################################################
FAILURE TO PAY RENEWAL REGISTRATION FEE FOR
INVESTMENT ADVISORY
PAID INITIAL PREMIUM FOR INSURANCE POLICIES ON BEHALF OF 3 MATSON CHILDREN. LOIS MATSON WAS A STAFF PERSON
I HAD INADVERTENLY FAILED TO DISCLOSE JUVENILE PLEA OF NO
CONTEST WHICH WAS EXPURGED. AFTER THE NYSE SAID I SHOULD
HAVE DISCLOSED THESE MATTERS, SALOMON SMITH BARNEY TERMINATED ME.
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REPRESENTATIVE RECEIVED AN ORDER OF CENSURE (REPRIMAND) FOR VIOLATION OF OKLAHOMA STATUTE 36 SS 1435.13(A
SHAW WAS INFORMED BY LETTER FROM THE NASD REGULATION ON APRIL 8, 2003 THAT HE IS UNDER INVESTIGATION REGA
VIOLATION OF NYSE RULES 472.30(I) AND 476(A)(6)
RESPONDENT'S REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS IS SUBJECT TO REVOCATION PURSUANT TO SECT
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ON PROBATION FROM MISDEMEANOR DESCRIBED IN QUESTION # 1. CANNOT REAPPLY UNTIL PROBATION ENDS 03/24/2003
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THIS ACCOUNT WAS ESTABLISHED BY ED DAIGNEAU. SUBSEQUENT TRADES WERE PLACED BY [THIRD PARTY]. ORIGINAL COM
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9/21/04 A CHECK WAS ISSUED TO THE STATE OF ALABAMA FOR LICENSE RENEWAL.
10/13/04 CHECK WAS RETURNED TO THE STATE FOR INSUFFICIENT FUNDS.
3/25/05 PAID MONETARY PAYMENT ($20.00 RENEWAL FEE+ $30 SERVICE CHARGE). CASE
RESCINDED
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NASD CONDUCT RULE 2110; RESPONDENT EFFECTED TRANSACTIONS IN CUTOMERS' ACCOUNTS WITHOUT PRIOR CUSTOMER
MR. JALAYER ALLEGEDLY EFFECTED TRANSACTIONS IN CUSTOMER ACCOUNTS WITHOUT THEIR PRIOR KNOWLEDGE, AUTHOR
APPLICATION FOR REGISTRATION HAD BEEN DELINQUENT FOR 184 DAYS DUE TO LACK OF SERIES 63 EXAM.
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TO COMPLETE CLE BY REQUIRED DATE (BIRTHDAY WITH A FEW DAYS GRACE PERIOD.)
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MISSOURI DEPARTMENT OF REVENUE NOTIFIED THE DEPARTMENT OF INSURANCE THAT PROFESSIONAL LICENSE WAS TO BE
INCOMPLETE APPLICATION AND FAILURE TO COMPLY WITH DIVISION'S RULES REGARDING A DUAL LICENSE.
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ILLINOIS SEEKS TO DENY REGISTRATION OF CHRISTOPHER MURRAY BASED ON OUTCOME OF NASD CASE # CLIO40025
FAILED TO RESPOND TO A NOTICE OF VIOLATION OF NOTIFICATION OF A CHANGE OF ADDRESS WITHIN 30 DAYS.
I FAILED TO COMPLETE THE REQUIRED CONTINUING EDUCATION FOR THE PERIOD APRIL 26, 2005
TO APRIL 26, 20
THIS IS A NEW ORDER(07-0971) THAT SUPERCEDES THE OLD (07-0881). THAT STATES THAT I
CONTACTED TDI AND WAS NOT AUDITED.
MEMBERSHIP DUES 2002 WERE NOT PAID, MY NEBRASKA BAR MEMBERSHIP WAS ADMINISTRATIVELY SUSPENDED AS A RESU
ALLEGATIONS RELATING TO NASD RULES 2110,3010(A) AND (B)3011 AND MSRB RULE G-41.
THIS ACCOUNT WAS ESTABLISHED BY ED DAIGNEAU. SUBSEQUENT TRADES WERE PLACED BY HAMZA SHAIKH. ORIGINAL COM
SALE OF SECURITIES WITHOUT THE REQUIRED SECURITIES LICENSE.
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TRADING IN A DISCRETIONARY ACCOUNT WITHOUT BROKER DEALER APPROVAL
PENNSYLVANIA SECURITIES COMMISSION ISSUED TO ANDREW ROBERTS
A SUMMARY ORDER TO CEASE AND DESIST FINDING VIOLATIONS OF THE PENN. SECURITIES ACT OF
1972
PENNSYLVANIA SECURITIES COMMISSION ISSUED TO ANDREW ROBERTS A SUMMARY ORDER TO CEASE AND DESIST FINDING
NASD RULE 2110: LENTZ CUT AND PASTED THE CUSTOMERS' SIGNATURES ONTO THE "EXPLANATION OF TRANSACTION" FOR
FAILURE TO PAY RENEWAL FEE.
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VIOLATION OF SECTION 12.B OF THE TEXAS SECURITIES ACT BY RENDERING SERVICES AS INVESTMENT ADVISOR REPRESENTA
THE FIRM DID NOT HAVE WRITTEN PROCEDURES DESIGNED TO ACHIEVE TIMELY AND COMPLETE RENEWALS OR FILINGS OF A
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FAILURE TO DISCLOSE MATERIAL INFORMATION TO THE DIVISION CONCERNING A CRIMINAL CONVICTION FOR CHARGES SUB
MR. RIBICH'S APPLICATION FOR A STATE OF WISCONSIN INSURANCE LICENSE WAS FORMALLY DENIED AFTER THE STATE MAD
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EXCESSIVE TRADING; UNSUITABLE TRADING; FRAUD THROUGH MISREPRESENTATION AND OMISSION; EXCESSIVE USE OF MA
NONE
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FAILURE TO COMPLETE SECURITIES AGENT LICENSING APPLICATION
INITIAL APPLICATION DENIED BECAUSE THE SERIES 63 EXAM WAS NOT TAKEN WITHIN 6 MONTHS OF
THE APPLICATION. THE SERIES 63 WAS SUBSEQUENTLY TAKEN AND PASSED.
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THE COMMONWEALTH OF MASSACHUSETTS IS PRESENTING THAT THEY NEVER RECEIVED A COPY OF MY PRIOR WISCONSIN A
OFFERED AND SOLD SECURITIES IN PENNSYLVANIA THAT WERE NEITHER REGISTERED NOR EXEMPT FROM REGISTRATION.
OFFERING UNREGISTERED SECURITIES IN WISCONSIN
EMPLOYING AN UNLICENSED AGENT IN WISCONSIN
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APPLICANT FAILED TO FILE AN APPLICATION THAT WAS MATERIALLY COMPLETE.
ALABAMA ALLEGES THAT I FAILED TO NOTIFY THEM OF MY MOVE WITHIN THE 30 DAY REQUIREMENT.
THE JUNE 27, 2008 CONSENT ORDER ALLEGED THAT, ON MAY 15, 2007, MICHAEL REILLY VIOLATED SECTION 36B-26(D) OF TH
INCONSISTENT RESPONSE REGARDING MISDEMEANOR CHARGES
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FAILURE TO FULFILL CONTINUING EDUCATION REQUIREMENTS
SUSPENDED FOR FAILURE TO PAY BAR MEMBERSHIP FEES.
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DIDN'T RENEW INSURANCE AGENTS LICENSE BY CORRECT DATE
I ACCIDENTALLY CHECK NO TO ANY MISDEMEANORS.
PRACTICE OF LAW WHILE ON INACTIVE STATUS
crntSt rsltn fnlOrd rsltnDt fine amt revocDnl dsgrgRest
FINAL AWC N 4/3/1997 Y 5000 N N
FINAL CONSENT N 9/7/1983 Y 250 N N
FINAL CONSENT N 7/8/1991 N N N
FINAL CONSENT N 3/19/1990 Y 5000 N N
FINAL AWC N 12/20/1996 Y 10000 N N
FINAL ORDER N 7/8/2004 Y 50000 N Y
FINAL DECISION N 11/10/1994 Y 10000 N N
FINAL AWC N 3/29/1995 Y 2575 N N
FINAL AWC N 3/27/1995 Y 2575 N N
FINAL CONSENT N 3/19/1993 Y 2500 N N
FINAL ORDER N 9/29/1999 Y 5000 N N
FINAL STIPCONS N 1/22/2004 Y 5000 N N
FINAL AWC N 12/10/2001 Y 7500 N N
FINAL AWC N 9/29/2002 Y 500 N N
FINAL CONSENT N 1/29/1999 N N N
FINAL CONSENT N 5/25/1979 Y 25000 N N
FINAL CONSENT N 6/30/1992 N N N
FINAL CONSENT N 9/6/1989 Y 50000 N N
FINAL CONSENT N 5/28/1992 Y 3000 N N
FINAL CONSENT N 7/31/2000 Y N N
FINAL DECISION N 6/20/1990 N Y N
FINAL AWC N 2/9/2001 Y 10000 N Y
FINAL OTHER N 2/26/2004 N Y N
FINAL AWC N 7/18/2003 Y 5000 N N
FINAL AWC N 7/28/2003 Y 5000 N N
FINAL AWC N 10/31/2005 Y 5000 N Y
FINAL CONSENT N 10/28/1991 N Y N
FINAL DECISION N 2/2/1988 N Y N
FINAL AWC N 9/17/1998 Y 9000 N N
FINAL OFFERSETTLE N 9/5/1989 Y 2000 N N
FINAL DECISION N 12/13/1991 N N N
FINAL VACATED N 5/12/1988 N N N
FINAL AWC N 1/12/1995 Y 52000 N N
FINAL DISMISSD N 10/15/1968 N N N
FINAL AWC N 5/8/2000 Y 10000 N N
FINAL DECISION N 1/10/1990 N Y N
FINAL CONSENT N 11/27/1990 Y 2000 N N
FINAL CONSENT N 10/14/1991 N N N
FINAL AWC N 3/2/2000 Y 10000 N N
FINAL AWC N 7/29/1988 Y 300 N N
FINAL CONSENT N 6/19/1990 Y 500 N N
FINAL DECISION N 5/24/1993 N N N
FINAL CONSENT N 5/26/1995 N N N
FINAL AWC N 11/27/1990 Y 30000 N N
FINAL AWC N 8/14/2006 Y 12500 N N
FINAL SETTLMNT N 9/28/2007 Y 60000 N N
FINAL CONSENT N 12/2/1993 Y 3500 N N
FINAL STIPCONS N 2/7/1997 N N Y
FINAL CONSENT N 11/2/1990 Y 1000 N N
FINAL AWC N 12/19/2000 Y 5000 N N
FINAL DECISION N 12/27/1989 N Y N
FINAL DECISION N 3/27/1995 Y 2500 N N
PENDING N N N N
FINAL AWC N 12/29/1995 Y 2500 N N
FINAL AWC N 9/5/1997 Y 20000 N N
FINAL ORDER N 2/7/1985 Y 250 N N
FINAL SETTLMNT N 11/1/1984 Y 500 N N
FINAL ORDER N 12/22/2000 Y 1000 N N
FINAL CONSENT N 7/29/2007 Y 2700 N N
FINAL STIPCONS N 2/6/2008 Y 500 N N
FINAL SETTLMNT N 12/5/2007 Y 500 N N
FINAL SETTLMNT N 4/29/2008 Y 300 N N
FINAL SETTLMNT N 5/13/2008 Y 1800 N N
FINAL VACATED N 7/17/1998 N N N
FINAL ORDER N 6/19/1987 N Y N
FINAL CONSENT N 6/10/1998 Y 5000 N N
FINAL AWC N 7/18/2003 Y 12500 N N
FINAL AWC N 10/29/2008 Y 5000 N N
FINAL CONSENT N 10/21/1986 Y 1000 N N
FINAL AWC N 7/22/2002 Y 5000 N N
FINAL AWC N 7/2/2004 Y 5000 N N
FINAL CONSENT N 1/12/1988 Y 5000 N N
FINAL DECISION N 6/14/1985 N Y N
FINAL DECISION N 6/29/1994 N Y N
FINAL SETTLMNT N 10/4/2005 Y 250 N N
FINAL OFFERSETTLE N 3/8/1994 Y 14500 N N
FINAL WITHDRWN N 9/7/2007 N N N
FINAL OFFERSETTLE N 11/20/2000 N N N
FINAL STIPCONS N 10/23/2003 Y 500 N N
FINAL CONSENT N 5/24/1993 Y 5500 N N
FINAL VACATED N 2/27/1991 N N N
FINAL OFFERSETTLE N 6/10/1992 Y 5000 N N
FINAL STIPCONS N 8/19/1996 N N N
FINAL DECISION N 9/25/1992 Y 1000 N N
FINAL CONSENT N 12/16/1985 Y 500 N N
FINAL CONSENT N 10/15/1984 Y 100 N N
FINAL CONSENT N 11/26/1990 N N N
FINAL AWC N 8/1/2000 Y 30000 N N
FINAL STIPCONS N 10/12/2006 Y 2500 N N
FINAL CONSENT N 4/8/2002 N N Y
FINAL CONSENT N 6/23/1994 Y 1000 N N
FINAL CONSENT N 1/19/1988 Y 1500 N Y
FINAL CONSENT N 5/30/1989 Y 7500 N N
FINAL AWC N 3/21/2001 Y 12500 N N
FINAL STIPCONS N 11/14/2001 N N N
FINAL ORDER N 11/19/2004 Y 9000 N N
FINAL CONSENT N 1/19/1995 Y 2500 N N
FINAL OFFERSETTLE N 5/25/1993 Y 2500 N N
FINAL AWC N 11/2/1990 Y 2500 N N
FINAL CONSENT N 11/7/1990 N N N
FINAL AWC N 11/18/1998 Y 4500 N N
FINAL AWC N 11/6/1995 Y 17900 N N
FINAL CONSENT N 3/5/1991 Y 10000 N N
FINAL CONSENT N 3/15/1990 Y 10000 N N
FINAL SETTLMNT N 6/18/1997 N N Y
FINAL AWC N 12/27/2004 Y 7500 N N
FINAL AWC N 7/30/1999 Y 5000 N N
FINAL DECISION N 5/8/2006 Y 15000 N N
FINAL CONSENT N 4/12/1990 Y 1000 N N
FINAL STIPCONS N 9/7/1995 Y 500 N N
FINAL ORDER N 12/23/1999 N N N
FINAL CONSENT N 1/26/1999 N N N
FINAL ORDER N 6/5/2003 N N N
FINAL SETTLMNT N 11/1/2006 Y 1500 N N
FINAL AWC N 10/19/2007 Y 7500 N N
FINAL CONSENT N 5/1/1991 Y 5000 N N
FINAL SETTLMNT N 10/28/1983 N N N
FINAL DECISION N 6/6/1991 N N N
FINAL SETTLMNT N 11/1/1987 Y 300 N N
FINAL CONSENT N 6/16/1995 N N N
FINAL DECISION N 1/10/2005 Y 65000 N N
FINAL AWC N 7/21/2005 Y 15000 N N
PENDING N N N N
FINAL DECISION N 5/23/1985 N N N
FINAL DECISION N 9/3/1998 N N N
FINAL CONSENT N 7/8/1991 Y 5000 N N
FINAL SETTLMNT N 5/22/2002 Y 2500 N N
FINAL AWC N 11/24/1997 Y 5000 N N
FINAL CONSENT N 8/26/1997 N N N
FINAL OFFERSETTLE N 8/24/2000 Y 5000 N N
FINAL OFFERSETTLE N 6/23/1993 Y 3087 N N
FINAL AWC N 12/2/1986 Y 1000 N N
FINAL CONSENT N 10/20/1986 Y 1000 N N
FINAL SETTLMNT N 9/22/2006 Y 50000 N N
FINAL OFFERSETTLE N 1/6/2005 Y 200001 N Y
FINAL DECISION N 1/14/2005 Y 200001 N Y
FINAL AWC N 8/13/2002 Y 200000 N N
FINAL CONSENT N 3/30/1990 Y 5000 N N
FINAL ORDER N 10/27/1988 N N N
FINAL OFFERSETTLE N 6/18/1987 Y 15000 N N
FINAL CONSENT N 3/29/1988 Y 2000 N N
FINAL CONSENT N 5/20/1994 N N N
FINAL CONSENT N 4/19/1994 Y 5000 N N
FINAL AWC N 6/22/2007 Y 5000 N N
PENDING N N N N
FINAL CONSENT N 6/2/1995 Y 3000 N N
FINAL ORDER N 5/28/2008 Y 150000 N Y
FINAL DECISION N 2/17/1995 N N N
FINAL CONSENT N 1/11/1999 Y 25000 N N
FINAL OFFERSETTLE N 2/16/2005 Y 17500 N N
FINAL STIPCONS N 3/10/2006 Y 1000 N N
FINAL OFFERSETTLE N 2/11/1992 Y 500 N N
FINAL AWC N 11/18/1996 Y 10000 N N
FINAL AWC N 8/22/1995 Y 10000 N N
FINAL AWC N 5/5/2003 Y 10000 N N
FINAL ORDER N 12/4/2000 N N N
FINAL DECISION N 5/2/1991 N Y N
FINAL DISMISSD N 6/26/1998 N N N
FINAL CONSENT N 5/20/1993 N N N
FINAL OFFERSETTLE N 6/12/1991 Y 3000 N N
FINAL AWC N 8/19/1999 Y 5000 N N
FINAL AWC N 12/14/2001 Y 20000 N N
FINAL SETTLMNT N 5/2/2007 Y 78000 N N
FINAL AWC N 10/27/2008 Y 10000 N N
FINAL CONSENT N 10/6/1988 Y 1000 N N
FINAL AWC N 1/5/2006 Y 10000 N N
FINAL CONSENT N 3/24/1988 Y 10000 N N
FINAL AWC N 2/3/1993 Y 2500 N N
FINAL CONSENT N 6/15/2004 Y 10682.34 Y Y
FINAL CONSENT N 1/23/1991 N N N
FINAL STIPCONS N 4/27/2004 Y 100000 N N
FINAL DECISION N 2/15/1994 Y 2500 N N
FINAL CONSENT N 1/31/1989 Y 1000 N N
FINAL ORDER N 9/27/2000 Y 15000 N N
FINAL ORDER N 7/26/2006 Y 1000 N N
FINAL ORDER N 6/26/1991 N Y N
FINAL CONSENT N 2/4/1994 N N N
FINAL OFFERSETTLE N 8/21/1996 Y 7500 N N
FINAL SETTLMNT N 3/4/1990 N N N
FINAL CONSENT N 8/3/1993 Y 2000 N N
FINAL ORDER N 7/14/1998 N Y N
FINAL ORDER N 8/27/2001 N N N
FINAL ORDER N 5/20/2003 N N N
FINAL AWC N 10/25/1988 N N N
FINAL AWC N 12/5/2003 Y 13000 N N
FINAL AWC N 10/27/1999 Y 7500 N N
FINAL DECISION N 1/17/1994 Y 4199 N N
FINAL DECISION N 12/15/1976 N N Y
FINAL CONSENT N 4/27/1981 Y 2500 N N
FINAL OFFERSETTLE N 10/25/2005 Y 2500 N N
FINAL SETTLMNT N 4/19/2006 Y 5000 N N
FINAL AWC N 1/7/1999 Y 5000 N N
FINAL AWC N 10/9/1996 Y 2500 N N
FINAL AWC N 8/24/2000 Y 5000 N N
FINAL AWC N 10/24/2007 Y 30000 N N
FINAL OTHER N 7/15/2008 Y 5000 N N
FINAL CONSENT N 1/17/1992 Y 2500 N N
FINAL AWC N 11/6/1996 Y 20000 N N
FINAL DECISION N 4/25/2000 Y 5000 N N
FINAL CONSENT N 3/2/2004 Y 26715.96 N Y
FINAL DECISION N 11/1/1982 N N N
FINAL ORDER N 8/20/1998 Y 250 N N
FINAL CONSENT N 10/3/1991 Y 5000 N N
FINAL AWC N 12/22/1994 Y 40000 N N
FINAL AWC N 4/3/1997 Y 10000 N N
FINAL CONSENT N 8/5/2002 N N N
FINAL DECISION N 5/5/1992 N N N
FINAL CONSENT N 10/7/1991 Y 5000 N N
FINAL STIPCONS N 8/20/1990 N N N
FINAL DECISION N 12/1/1987 N Y N
FINAL ORDER N 12/27/1989 N Y N
FINAL CONSENT N 1/30/1995 Y 7500 N N
FINAL AWC N 8/7/1996 N N N
FINAL CONSENT N 2/29/1988 Y 3000 N N
FINAL STIPCONS N 3/28/1995 N N N
FINAL STIPCONS N 6/18/1991 Y 2500 N N
FINAL SETTLMNT N 5/30/1990 Y 10000 N N
FINAL AWC N 9/7/1995 N N N
PENDING N N N N
FINAL CONSENT N 10/23/1992 Y 79350 N N
FINAL CONSENT N 1/18/1994 N N N
FINAL CONSENT N 7/24/1992 Y 25000 N Y
FINAL AWC N 10/23/2000 Y 5000 N N
FINAL CONSENT N 12/19/1988 N N N
FINAL CONSENT N 10/27/1986 Y 100 N N
FINAL CONSENT N 4/13/1990 N N N
FINAL STIPCONS N 7/15/1988 N N N
FINAL OFFERSETTLE N 5/12/1995 Y 12500 N N
FINAL CONSENT N 6/8/1992 Y 2500 N N
FINAL OTHER N 6/15/1998 N Y N
FINAL AWC N 9/1/1998 Y 8500 N N
FINAL CONSENT N 10/4/1991 N N N
FINAL WITHDRWN N 12/2/1999 N N N
FINAL CONSENT N 7/7/1992 Y 6000 N N
FINAL AWC N 7/3/2002 Y 7500 N N
FINAL AWC N 5/15/2002 Y 2500 N N
FINAL ORDER N 4/1/1993 N Y N
FINAL STIPCONS N 3/18/1991 Y 1000 N N
FINAL AWC N 9/5/1997 Y 500 N N
FINAL ORDER N 2/2/2000 Y 10000 N N
FINAL CONSENT N 8/18/1994 Y 10000 N N
FINAL AWC N 8/16/2004 Y 25000 N N
FINAL CONSENT N 11/22/2005 N N N
FINAL AWC N 11/20/2000 Y 6000 N N
FINAL CONSENT N 7/26/1994 N N N
FINAL CONSENT N 10/11/1996 N N N
FINAL DECISION N 6/7/1989 Y 2000 N N
FINAL AWC N 1/12/1995 Y 2500 N N
FINAL AWC N 12/17/1998 Y 6500 N N
FINAL DECISION N 1/14/2005 Y 50001 N N
FINAL OFFERSETTLE N 1/6/2005 Y 50001 N Y
FINAL DECISION N 5/2/2005 Y 5000 N N
FINAL AWC N 4/17/2006 Y 15000 N N
FINAL AWC N 3/14/2008 Y 10000 N N
FINAL DECISION N 6/20/2002 Y 50000 N N
FINAL CONSENT N 10/29/1992 Y 2500 N N
FINAL AWC N 9/6/1989 N N N
FINAL STIPCONS N 10/11/1990 N N N
FINAL CONSENT N 6/11/1990 N N N
FINAL AWC N 12/11/1998 Y 2500 N Y
FINAL AWC N 5/26/2000 Y 5000 N N
FINAL DECISION N 6/18/1986 N N N
FINAL AWC N 8/2/1985 Y 1000 N N
FINAL WITHDRWN N 8/9/2007 N N N
FINAL ORDER N 12/29/2006 Y 35000 N N
FINAL DISMISSD N 10/31/2001 N N N
FINAL ORDER N 8/14/1997 N N N
FINAL CONSENT N 5/16/1995 Y 16040 N N
FINAL SETTLMNT N 6/14/2002 Y 35000 N N
FINAL SETTLMNT N 2/15/1990 Y 3500 N N
FINAL CONSENT N 5/1/1995 N N N
FINAL CONSENT N 5/30/1997 Y 50000 N N
FINAL OTHER N 7/11/1985 Y 250 N N
FINAL AWC N 11/9/1999 Y 5000 N N
FINAL AWC N 4/25/1997 Y 8000 N N
FINAL DECISION N 9/12/1988 Y 2500 N N
FINAL DECISION N N N N
FINAL AWC N 6/22/1990 Y 7500 N N
FINAL OFFERSETTLE N 12/14/1992 Y N N
FINAL AWC N 5/10/2002 Y 4180 N N
FINAL CONSENT N 7/10/1999 Y 12500 N N
FINAL AWC N 9/27/2001 Y 5000 N N
FINAL ORDER N 10/21/1998 Y 250 N N
FINAL CONSENT N 10/5/1994 N N N
FINAL ORDER N 5/22/1997 Y 7500 N N
FINAL CONSENT N 9/28/1994 Y 5000 N N
FINAL AWC N 5/25/1995 Y 5000 N N
FINAL OFFERSETTLE N 2/21/2002 Y 15000 N N
FINAL CONSENT N 9/28/2005 Y 2500 N N
FINAL CONSENT N 4/12/1983 Y 100 N N
FINAL SETTLMNT N 5/29/1991 Y 150 N N
FINAL CONSENT N 11/2/1992 Y 6500 N N
FINAL DECISION N 1/5/1996 Y 50000 N N
FINAL OFFERSETTLE N 11/2/1990 N N N
FINAL AWC N 3/15/2005 Y 1500 N N
FINAL CONSENT N 11/10/2001 Y 1000 N N
FINAL CONSENT N 9/26/2003 Y 100 N N
FINAL DISMISSD N 9/6/2006 N N N
FINAL CONSENT N 8/11/2005 Y 500 N N
FINAL ORDER N 9/21/2005 N N N
FINAL SETTLMNT N 10/19/2005 Y 1000 N N
FINAL ORDER N 9/24/1990 Y 10000 N N
FINAL ORDER N 9/19/1994 Y 1000 N N
FINAL ORDER N 2/19/2009 N N N
FINAL DECISION N 8/7/1995 Y 1000 N N
FINAL CONSENT N 10/25/1990 N N N
FINAL CONSENT N 6/26/1990 N N N
FINAL CONSENT N 8/13/1993 Y 10000 N N
FINAL DECISION N 10/31/2002 Y 10000 N N
FINAL OFFERSETTLE N 9/12/2000 Y 2000 N N
FINAL STIPCONS N 9/17/2007 Y 500 N N
FINAL SETTLMNT N 3/25/2009 Y 2089 N N
FINAL AWC N 5/4/1998 Y 35000 N N
FINAL DECISION N 10/30/1991 N N N
FINAL OFFERSETTLE N 11/28/1988 Y 7000 N N
FINAL DECISION N 1/10/1986 N N N
FINAL AWC N 7/1/1998 Y 2500 N N
FINAL CONSENT N 12/29/1994 Y 2500 N N
FINAL CONSENT N 3/6/1995 Y 3500 N N
FINAL AWC N 4/15/2003 Y 20000 N N
FINAL CONSENT N 6/26/1992 Y 10000 N N
FINAL CONSENT N 9/29/2008 Y 15398.21 N N
FINAL AWC N 8/2/2005 Y 10000 N N
FINAL DECISION N 4/13/1989 Y 500 N N
FINAL CONSENT N 3/9/1993 N N N
FINAL DISMISSD N 4/6/1998 N N N
FINAL CONSENT N 10/12/2006 Y 10000 N Y
FINAL OFFERSETTLE N 4/11/1989 Y 2000 N N
FINAL DISMISSD N 7/26/1991 N N N
FINAL DECISION N 2/10/1994 N N N
FINAL CONSENT N 11/16/1990 N N N
FINAL AWC N 4/11/2000 Y 5000 N N
FINAL ORDER N 9/15/1995 Y 1000 N N
FINAL DISMISSD N 8/5/2003 N N N
FINAL DISMISSD N 8/5/2003 N N N
FINAL DECISION N 11/5/1993 N Y N
FINAL OFFERSETTLE N 2/20/1996 Y 1500 N N
FINAL ORDER N 6/8/1988 N Y N
FINAL CONSENT N 8/31/2006 N N Y
FINAL OFFERSETTLE N 9/23/1997 Y 8500 N Y
FINAL CONSENT N 1/17/1991 Y 5000 N N
FINAL AWC N 9/1/1989 Y 5000 N N
FINAL AWC N 8/13/2002 Y 200000 N N
FINAL AWC N 5/30/2003 Y 15000 N N
FINAL AWC N 11/6/1995 Y 7600 N N
FINAL AWC N 9/21/1993 Y 5500 Y N
FINAL AWC N 9/21/1993 Y 5500 N N
FINAL CONSENT N 1/11/1989 Y 100 N N
FINAL CONSENT N 2/2/1994 N N N
FINAL AWC N 12/19/1995 Y 5000 N N
FINAL DECISION N 5/22/2007 Y 10000 N N
FINAL OFFERSETTLE N 6/23/1993 Y 2500 N N
FINAL AWC N 12/3/1993 Y 15000 N N
FINAL CONSENT N 5/26/1995 Y 2500 N N
FINAL OFFERSETTLE N 9/26/1990 Y 1500 N N
FINAL DECISION N 9/7/2006 Y 2500 N N
FINAL DECISION N 1/1/1990 N N N
FINAL DECISION N 5/22/1985 N N N
FINAL DECISION N 5/1/1988 N N N
FINAL CONSENT N 4/14/1993 N N N
FINAL SETTLMNT N 12/2/2002 Y 120000 N N
FINAL CONSENT N 12/14/1992 Y 500 N N
FINAL ORDER N 12/27/1989 N Y N
FINAL ORDER N 8/10/1989 N N N
FINAL DECISION N 2/17/2005 Y 5000 N N
FINAL AWC N 12/10/2003 Y 7500 N N
FINAL OFFERSETTLE N 12/19/1995 Y 720 N N
FINAL DECISION N 12/24/1995 N N N
FINAL CONSENT N 7/27/1995 Y 6500 N N
FINAL DECISION N 5/22/1997 Y 70000 N N
FINAL AWC N 2/4/2002 Y 10000 N N
FINAL CONSENT N 6/7/1991 N N N
FINAL STIPCONS N 4/19/1991 N N N
FINAL OFFERSETTLE N 5/21/1990 N N Y
FINAL AWC N 8/13/1997 Y 50000 N N
FINAL CONSENT N 3/22/1999 Y 1000 N N
FINAL DECISION N 3/9/1995 N N N
FINAL CONSENT N 6/27/1988 N N N
FINAL AWC N 10/26/1993 Y 10000 N N
FINAL DECISION N 11/10/1995 Y 5000 N N
FINAL CONSENT N 7/24/1996 N N N
FINAL CONSENT N 3/14/1989 N N N
FINAL AWC N 3/12/1996 Y 20000 N N
FINAL CONSENT N 11/8/2007 Y 250 N N
FINAL VACATED N 4/5/1989 Y 5000 N N
FINAL AWC N 1/19/1990 Y 1000 N N
FINAL OTHER N 5/17/1990 N Y N
FINAL AWC N 3/17/2004 Y 7500 N N
FINAL STIPCONS N 9/28/1999 Y 20000 N N
FINAL STIPCONS N 12/4/1992 N N N
FINAL STIPCONS N 5/1/1997 N N N
FINAL CONSENT N 8/12/1998 N N N
FINAL SETTLMNT N 5/31/2006 Y 1000 N N
FINAL CONSENT N 12/28/2005 Y 5000 N N
FINAL CONSENT N 5/15/2007 Y 19433.63 N Y
FINAL CONSENT N 12/18/2006 Y 50000 N Y
FINAL CONSENT N 6/30/2004 Y 5000 N N
FINAL AWC N 1/21/2009 Y 15000 N N
FINAL DECISION N 3/14/2005 Y 3000 N N
FINAL AWC N 12/23/1999 Y 6500 N N
FINAL AWC N 9/12/2008 Y 35000 N N
PENDING N N N N
FINAL AWC N 11/6/1995 Y 10400 N N
FINAL VACATED N 9/11/2003 N N N
FINAL OFFERSETTLE N 2/12/1999 N N N
FINAL DECISION N 3/6/1991 Y 1000 N N
FINAL VACATED N 4/28/1993 N N N
FINAL AWC N 8/21/2001 Y 7500 N N
FINAL DECISION N 9/3/1993 N N N
FINAL CONSENT N 2/9/1995 N N N
FINAL CONSENT N 4/22/1996 Y 2000 N N
FINAL CONSENT N 1/13/1993 Y 27500 N N
FINAL STIPCONS N 4/18/2008 Y 250 N N
FINAL DECISION N 8/8/1994 Y 3750 N N
FINAL VACATED N 5/12/1998 N N N
FINAL CONSENT N 5/4/1998 N N N
FINAL AWC N 7/15/1991 Y 15000 N N
FINAL CONSENT N 9/6/1989 N N N
FINAL AWC N 3/19/2004 Y 5000 N N
FINAL DECISION N 1/18/2000 Y 2500 N N
FINAL STIPCONS N 3/11/2008 Y 250 N N
FINAL CONSENT N 8/31/1990 N N N
FINAL AWC N 1/3/2008 Y 50000 N N
FINAL OFFERSETTLE N 8/26/1997 Y 5000 N N
FINAL CONSENT N 3/29/2005 N N N
FINAL OFFERSETTLE N 6/12/1995 Y 5770 N N
FINAL CONSENT N 3/18/1993 Y 5000 N N
FINAL AWC N 1/3/2000 Y 5000 N N
FINAL STIPCONS N 4/14/2000 N N N
FINAL AWC N 2/18/1998 Y 1500 N N
FINAL OFFERSETTLE N 6/6/1994 Y 17500 N N
FINAL OTHER N 7/1/2002 N N N
FINAL ORDER N 4/24/2003 N N N
FINAL DISMISSD N 4/1/1996 N N N
FINAL OFFERSETTLE N 8/27/1998 Y 3000 N N
FINAL AWC N 8/8/2002 Y 15000 N N
FINAL DECISION N 8/29/1994 Y 5000 N N
FINAL OFFERSETTLE N 1/21/1998 Y 5000 N N
FINAL ORDER N 9/5/2003 Y 10000 N N
FINAL OFFERSETTLE N 3/20/1991 N N N
FINAL CONSENT N 9/12/1995 N N N
FINAL AWC N 1/20/1997 Y 2500 N N
FINAL DECISION N 12/27/1989 N Y N
FINAL CONSENT N 6/8/1992 Y 2500 N N
FINAL SETTLMNT N 1/22/1996 Y 4900 N N
FINAL AWC N 6/13/2007 Y 7500 N N
FINAL DISMISSD N 11/1/2005 Y 100 N N
FINAL CONSENT N 10/23/1992 Y 2000 N Y
FINAL DISMISSD N 12/27/1989 N Y N
FINAL AWC N 3/30/1999 Y 1500 N Y
FINAL DECISION N 12/27/1989 N Y N
FINAL CONSENT N 9/27/1994 N N N
FINAL CONSENT N 3/6/2009 N N Y
FINAL DECISION N 6/28/1996 Y 10000 N N
FINAL ORDER N 5/31/1996 N N N
FINAL DECISION N 5/6/1996 N Y N
FINAL ORDER N 7/17/2008 N N N
FINAL OFFERSETTLE N 5/15/1990 N N N
FINAL CONSENT N 5/24/1994 N N N
FINAL CONSENT N 5/4/2006 N N N
FINAL DECISION N 12/27/1989 N Y N
FINAL CONSENT N 1/1/1996 Y 500 N N
FINAL ORDER N 11/21/2005 Y 3500 N N
FINAL ORDER N 8/8/2000 N N N
FINAL ORDER N 3/5/1991 Y 2300 Y N
FINAL DECISION N 2/14/1992 N N N
FINAL DECISION N 7/1/1992 N N N
FINAL ORDER N 5/5/2005 Y 30000 N N
FINAL AWC N 6/14/2004 N N N
FINAL OTHER N 1/31/1997 N Y N
FINAL AWC N 6/16/1999 Y 200 N N
FINAL OTHER N 1/10/1997 N Y N
FINAL OFFERSETTLE N 4/18/1991 N N N
FINAL CONSENT N 3/10/1994 Y 2913 N N
FINAL ORDER N 6/5/2001 Y 10000 N N
FINAL DECISION N 12/27/1989 N Y N
FINAL OFFERSETTLE N 9/10/1999 Y 55000 N N
FINAL SETTLMNT N 5/14/2008 Y 1000 N N
FINAL CONSENT N 1/13/1994 Y 300 N N
FINAL STIPCONS N 10/1/2008 Y 2500 N N
FINAL AWC N 8/13/1997 Y 30000 N N
FINAL AWC N 6/15/2007 Y 7500 N N
FINAL DECISION N 2/1/2005 Y 7500 N N
PENDING N N N N
FINAL AWC N 4/25/1995 Y 5000 N N
FINAL ORDER N 3/4/1998 N N N
FINAL AWC N 9/12/1997 Y 7500 N N
FINAL DECISION N 10/17/1996 N Y N
FINAL DECISION N 8/10/1989 N N N
FINAL ORDER N 7/5/1994 Y 500 N N
FINAL WITHDRWN N 5/30/2007 N N N
FINAL OFFERSETTLE N 7/19/2004 Y 50000 N N
FINAL STIPCONS N 4/9/2007 Y 500 N N
FINAL AWC N 10/12/2006 Y 10000 N N
FINAL DECISION N 12/2/1991 N N N
FINAL CONSENT N 4/12/1998 Y 2500 N N
FINAL AWC N 4/5/2007 Y 5000 N N
FINAL DECISION N 1/18/2000 Y 2500 N N
FINAL STIPCONS N 7/8/1996 Y 500 N N
FINAL DECISION N 8/9/1995 Y 3000 N N
FINAL VACATED N 2/10/1995 N N N
FINAL CONSENT N 10/23/1992 Y 5000 N N
FINAL OTHER N 9/24/1987 N N N
FINAL CONSENT N 3/7/1985 N N N
FINAL DECISION N 7/11/1994 Y 2500 N N
FINAL AWC N 12/8/2003 Y 6000 N Y
FINAL OTHER N 6/20/2005 N N N
FINAL OFFERSETTLE N 3/14/2006 Y 500 N N
FINAL DECISION N 4/8/1996 Y 10000 N N
FINAL AWC N 3/27/2003 Y 10000 N N
FINAL DECISION N 8/6/1996 Y 5000 N N
FINAL AWC N 11/6/1996 Y 20000 N N
FINAL AWC N 7/27/2000 Y 5000 N N
FINAL DECISION N 2/3/1992 Y 1000 N N
FINAL ORDER N 2/23/2005 N N N
FINAL CONSENT N 12/15/1995 Y 5120 N N
FINAL AWC N 7/8/1997 Y 5000 N N
FINAL AWC N 6/23/2006 Y 10000 N N
FINAL AWC N 11/16/2007 Y 125000 N N
FINAL AWC N 6/14/2007 Y 500 N N
FINAL DECISION N 10/1/1986 N N N
FINAL AWC N 5/22/2003 Y 35000 N N
FINAL DECISION N 3/23/1993 Y 5000 N N
FINAL CONSENT N 3/23/1993 Y 2500 N N
FINAL CONSENT N 2/26/1996 N N N
FINAL ORDER N 12/6/1996 N Y N
FINAL AWC N 12/3/2003 Y 3500 N N
FINAL DECISION N 8/26/1998 Y 10000 N N
FINAL CONSENT N 5/13/1993 N N Y
FINAL CONSENT N 7/22/1996 N N Y
FINAL OFFERSETTLE N 7/26/2002 Y 10000 N Y
FINAL OFFERSETTLE N 2/18/2004 Y 5000 N N
ONAPPEAL ORDER N 8/6/2008 N N N
FINAL ORDER N 9/9/1998 Y 5000 N N
FINAL SETTLMNT N 2/26/1993 Y 5000 N N
FINAL STIPCONS N 1/26/1994 N N N
FINAL CONSENT N 6/29/2000 Y 2500 N N
FINAL CONSENT N 4/18/1997 N N N
FINAL CONSENT N 6/28/2005 Y 3000 N N
FINAL CONSENT N 4/30/1993 N N N
FINAL CONSENT N 11/3/1992 Y 3500 N N
FINAL AWC N 7/1/2007 Y 7500 N N
FINAL AWC N 4/10/2007 Y 5000 N N
FINAL AWC N 5/14/2003 Y 2500 N N
FINAL DECISION N 5/2/1991 Y 250 N N
FINAL DECISION N 12/18/1997 Y 7500 N N
FINAL CONSENT N 4/3/1990 Y 2500 N N
FINAL CONSENT N 3/12/1993 N N N
FINAL ORDER N 4/12/1993 N N N
FINAL AWC N 9/5/2003 Y 15000 N N
FINAL CONSENT N 11/23/1982 Y 500 N N
FINAL ORDER N 10/12/1998 Y 250 N N
FINAL ORDER N 3/3/2004 Y 7000 N N
FINAL CONSENT N 7/15/1991 Y 15000 N N
FINAL CONSENT N 9/26/2002 Y 2500 N N
FINAL OTHER N 12/3/2002 N Y N
FINAL SETTLMNT N 12/28/1998 Y 70000 N N
FINAL AWC N 3/3/2008 Y 2500 N N
FINAL STIPCONS N 7/22/2002 N N N
FINAL OFFERSETTLE N 12/24/1981 Y 1000 N N
FINAL DECISION N 5/28/1992 Y 1000 N N
FINAL CONSENT N 1/29/1990 Y 1000 N N
FINAL DECISION N 9/11/2007 Y 10000 N N
FINAL ORDER N 6/12/2008 N N N
FINAL DECISION N 11/29/1983 N N N
FINAL OTHER N 1/1/1981 N N N
FINAL AWC N 10/12/1990 Y 250 N N
FINAL ORDER N 12/12/2001 Y 20087.19 N N
FINAL AWC N 11/20/1995 Y 10000 N N
FINAL DECISION N 1/24/1979 N Y N
FINAL CONSENT N 9/21/1993 Y 2500 N N
FINAL CONSENT N 7/15/1994 N N N
FINAL CONSENT N 3/8/1994 N N N
FINAL CONSENT N 9/15/1981 Y 134 N N
FINAL DECISION N 5/2/1983 Y 3000 N N
FINAL CONSENT N 2/29/1988 Y 5000 N N
FINAL DECISION N 11/17/1980 N N N
FINAL CONSENT N 12/28/1990 Y 2500 N N
FINAL DECISION N 5/1/1985 N N N
FINAL CONSENT N 4/1/1981 N N N
FINAL OTHER N 1/7/1987 N Y N
FINAL SETTLMNT N 2/11/1986 Y 1850 N N
FINAL DECISION N 6/22/1990 N N N
FINAL CONSENT N 6/21/1990 Y 7500 N N
FINAL CONSENT N 10/6/1983 Y 2000 N N
FINAL SETTLMNT N 11/7/2006 Y 6000 N N
FINAL OFFERSETTLE N 11/30/1984 Y 1000 N N
FINAL CONSENT N 6/17/1983 N N N
FINAL CONSENT N 5/23/1986 N N N
FINAL CONSENT N 1/14/2005 Y 10000 N N
FINAL SETTLMNT N 3/21/1990 N Y N
FINAL STIPCONS N 3/19/2008 N N N
FINAL STIPCONS N 7/14/2004 Y 1000 N N
FINAL CONSENT N 8/31/1994 Y 1000 N N
FINAL SETTLMNT N 5/30/1989 Y 7500 N N
FINAL CONSENT N 3/17/1997 N N N
FINAL CONSENT N 6/20/1989 N N N
FINAL CONSENT N 4/13/1987 Y 1000 N N
FINAL CONSENT N 5/24/1988 Y 5000 N N
FINAL CONSENT N 4/30/1981 Y N N
FINAL DECISION N 1/4/2004 N N N
FINAL CONSENT N 8/23/2004 Y 500 N N
FINAL CONSENT N 5/19/1997 Y 100 N N
FINAL CONSENT N 8/19/1996 Y 600 N N
FINAL OTHER N 11/17/2005 N Y N
FINAL WITHDRWN N 8/30/2004 Y 500 N N
FINAL SETTLMNT N 12/31/2007 Y 25000 N N
FINAL WITHDRWN N 10/9/2003 N N N
FINAL AWC N 6/27/2001 Y 31358 N Y
FINAL CONSENT N 9/10/1990 Y 5000 N N
FINAL DECISION N 1/24/1985 Y 250 N N
FINAL CONSENT N 12/4/1985 N N N
FINAL DECISION N 9/2/1993 Y 10000 N N
FINAL CONSENT N 3/30/1988 N N N
FINAL ORDER N 10/13/1982 N Y N
FINAL SETTLMNT N 11/5/1982 N N Y
FINAL DECISION N 9/21/1990 Y 5000 N N
FINAL DECISION N 2/18/1987 N N N
FINAL DECISION N 9/14/1992 Y 15000 N N
FINAL AWC N 7/7/1999 Y 10000 N N
FINAL CONSENT N 6/15/2000 Y 750 N N
PENDING N N N N
FINAL OFFERSETTLE N 10/16/1995 Y 5000 N N
FINAL CONSENT N 12/12/1994 N N N
FINAL CONSENT N 6/10/1994 Y 7500 N N
FINAL CONSENT N 9/19/1995 Y 3000 N N
FINAL AWC N 9/19/1995 Y 3000 N N
FINAL DECISION N 8/9/1995 Y 5000 N N
FINAL ORDER N 10/27/1995 N Y N
FINAL CONSENT N 2/15/1989 Y 110000 N N
FINAL CONSENT N 4/17/1990 N N N
FINAL CONSENT N 8/28/1981 Y 10000 N N
FINAL CONSENT N 9/29/1989 Y 1000 N N
FINAL DECISION N 2/8/2006 N N N
FINAL DECISION N 10/31/2002 Y 3000 N N
FINAL CONSENT N 1/31/2003 Y 3000 N N
FINAL ORDER N 5/2/2003 N N N
FINAL AWC N 6/14/2004 Y 12500 N N
FINAL DECISION N 1/3/1995 Y 7500 N N
FINAL OFFERSETTLE N 11/5/1993 Y 17500 N N
FINAL CONSENT N 5/23/1994 Y 2500 N N
FINAL AWC N 7/11/2007 Y 25000 N N
FINAL CONSENT N 8/10/1987 Y 10000 N N
FINAL CONSENT N 11/16/1990 N N N
FINAL CONSENT N 6/20/1990 Y 15000 N N
FINAL AWC N 2/10/2004 Y 2500 N N
FINAL ORDER N 2/28/1990 N Y N
FINAL DECISION N 4/28/1979 Y 1000 N N
FINAL DECISION N 1/1/1982 N N N
FINAL CONSENT N 2/15/1994 Y 5000 N N
FINAL CONSENT N 2/12/1991 Y 1000 N N
FINAL CONSENT N 3/9/1994 Y 5000 N N
FINAL AWC N 5/22/2003 Y 10000 N N
FINAL AWC N 8/7/2008 Y 25000 N N
FINAL CONSENT N 9/17/1993 Y 5000 N N
FINAL AWC N 8/16/2005 Y 10000 N Y
FINAL SETTLMNT N 9/18/2006 N N N
FINAL DECISION N 11/1/1982 N Y N
FINAL CONSENT N 7/23/1981 N N N
FINAL DECISION N 12/21/1984 Y 16000 N N
FINAL DECISION N 6/30/1980 N N N
FINAL DECISION N 10/3/1986 Y 5000 N N
FINAL CONSENT N 5/14/1996 Y 500 N N
FINAL AWC N 11/14/1983 N N N
FINAL STIPCONS N 5/8/1996 Y 2000 N N
FINAL CONSENT N 10/20/1993 Y 4600 N N
FINAL CONSENT N 9/8/1995 Y 5000 N N
FINAL AWC N 11/6/1995 Y 10000 N N
FINAL AWC N 5/9/1991 Y 1000 N N
FINAL AWC N 12/31/1990 Y 250 N N
FINAL CONSENT N 12/24/1979 N N N
FINAL CONSENT N 5/27/1997 Y 7500 N N
FINAL CONSENT N 12/27/1990 Y 7000 N N
FINAL CONSENT N 3/30/1979 N N N
FINAL CONSENT N 11/14/1983 N N N
FINAL DECISION N 9/18/1992 Y 5000 N N
FINAL OTHER N 6/19/1998 Y 10000 N N
FINAL ORDER N 3/12/1999 N Y N
FINAL CONSENT N 9/6/1989 N N N
FINAL AWC N 1/11/1999 Y 5000 N N
FINAL OFFERSETTLE N 3/13/1996 Y 2000 N N
FINAL DECISION N 11/14/1984 N N N
FINAL CONSENT N 2/9/1988 Y 500 N N
FINAL AWC N 11/30/2005 Y 7500 N N
FINAL AWC N 8/8/2007 Y 10000 N N
FINAL DECISION N 4/15/1985 N N N
FINAL STIPCONS N 5/3/1996 Y 25000 N N
FINAL AWC N 1/3/2000 Y 1500 N N
FINAL AWC N 1/31/1989 N N N
FINAL OFFERSETTLE N 11/28/1995 Y 5000 N N
FINAL CONSENT N 5/12/1986 N N N
PENDING N N N N
FINAL DECISION N 8/13/1983 N N N
FINAL CONSENT N 1/7/1990 Y 15000 N N
FINAL AWC N 9/16/1996 Y 20000 N N
FINAL DECISION N 9/25/1986 N N N
FINAL CONSENT N 12/22/1987 Y 5500 N N
FINAL DECISION N 3/17/1987 N N N
FINAL AWC N 11/24/1995 Y 4200 N N
FINAL DECISION N 1/23/1992 Y 2500 N N
FINAL CONSENT N 6/9/1995 Y 10000 N N
FINAL DECISION N 12/27/1989 N Y N
FINAL AWC N 2/23/2000 Y 2500 N N
FINAL SETTLMNT N 9/26/2000 Y 10000 N N
FINAL CONSENT N 10/17/1989 Y 5375 N N
FINAL STIPCONS N 1/24/2005 Y 5000 N N
FINAL AWC N 8/31/1984 Y 5000 N N
FINAL AWC N 10/5/2004 Y 10000 N N
FINAL CONSENT N 5/25/2006 Y 1000 N N
FINAL CONSENT N 9/19/2006 Y 1000 N N
FINAL OTHER N 8/24/2005 N N N
FINAL CONSENT N 1/26/2005 Y 1000 N N
FINAL CONSENT N 12/6/2006 Y 500 N N
FINAL CONSENT N 11/7/1988 Y 17500 N N
FINAL STIPCONS N 5/6/1986 Y 500 N N
FINAL CONSENT N 12/22/1992 Y 1000 N N
FINAL CONSENT N 11/30/1984 Y 1000 N N
FINAL DECISION N 5/22/1985 N Y N
FINAL OFFERSETTLE N 9/18/1996 N N N
FINAL OFFERSETTLE N 12/23/1997 Y 5000 N N
FINAL CONSENT N 9/24/1997 N N N
FINAL CONSENT N 3/7/1997 N N N
FINAL CONSENT N 8/18/1995 N N N
FINAL CONSENT N 6/13/1996 Y 500 N N
FINAL DECISION N 10/10/1996 Y 100 N N
FINAL DECISION N 6/26/1998 Y 5000 N N
FINAL CONSENT N 6/19/2001 Y 10000 N N
FINAL DECISION N 8/1/1981 N Y N
FINAL ORDER N 10/18/1983 N N N
FINAL CONSENT N 8/29/1991 N N N
FINAL CONSENT N 10/1/1986 N N N
FINAL CONSENT N 3/25/1988 Y 500 N N
FINAL OFFERSETTLE N 5/19/1986 Y 2500 N N
FINAL CONSENT N 1/15/1997 Y 50000 N N
FINAL AWC N 8/13/1997 Y 100000 N N
FINAL CONSENT N 3/5/1999 Y 1000 N N
FINAL AWC N 12/7/2007 Y 70000 N N
FINAL AWC N 8/5/1999 Y 3500 N N
FINAL SETTLMNT N 4/12/1984 Y 1000 N N
FINAL AWC N 1/17/1990 Y 2500 N N
FINAL CONSENT N 11/28/1997 Y 250 N N
FINAL ORDER N 3/22/2002 Y 1000 Y N
FINAL CONSENT N 4/24/1994 Y 1500 N N
FINAL OTHER N 6/12/1999 N Y N
FINAL DECISION N 8/8/1988 N N N
FINAL AWC N 11/7/1994 Y 1000 N N
FINAL CONSENT N 5/15/1984 N N N
FINAL STIPCONS N 12/7/1984 N N N
FINAL DECISION N 9/30/1983 N N N
FINAL CONSENT N 10/18/1993 N N N
FINAL CONSENT N 7/24/1992 Y 25000 N Y
FINAL OFFERSETTLE N 12/9/1997 Y 10000 N N
FINAL CONSENT N 5/1/1994 N Y Y
FINAL AWC N 10/31/1995 Y 5000 N N
FINAL DECISION N 7/7/1977 Y 1000 N N
FINAL CONSENT N 7/1/1991 Y 12500 N N
FINAL CONSENT N 12/28/1990 Y 1000 N N
FINAL DECISION N 10/4/1979 Y 500 N N
FINAL CONSENT N 5/10/2007 N N N
FINAL DECISION N 12/30/1976 N N N
FINAL OTHER N 5/1/1986 N N N
FINAL OTHER N 5/1/1986 Y 2500 N N
FINAL DECISION N 10/6/1997 Y 7500 N N
FINAL AWC N 10/26/1994 Y 5000 N N
FINAL CONSENT N 11/23/1990 N N N
FINAL AWC N 12/18/1987 Y 3000 N N
FINAL OFFERSETTLE N 10/25/1985 Y 2500 N N
FINAL DECISION N 3/31/1999 N N N
FINAL CONSENT N 3/7/1983 N N N
FINAL OFFERSETTLE N 9/21/1999 Y 5000 N Y
FINAL STIPCONS N 4/25/2000 Y 5000 N N
FINAL CONSENT N 5/20/1986 Y 10000 N N
FINAL DECISION N 1/1/1973 Y 2500 N N
FINAL CONSENT N 1/11/1974 Y 500 N N
FINAL CONSENT N 2/22/1991 Y 10000 N N
FINAL OFFERSETTLE N 2/20/1991 Y 5000 N N
PENDING N N N N
FINAL SETTLMNT N 8/24/2007 N N N
FINAL CONSENT N 9/27/1988 Y 5000 N N
FINAL CONSENT N 9/19/1991 Y 7500 N N
FINAL CONSENT N 10/30/1992 Y 20000 N N
FINAL OFFERSETTLE N 3/3/1993 Y 5000 N N
FINAL CONSENT N 6/24/1982 N N N
FINAL OFFERSETTLE N 7/15/1991 Y 5000 N N
FINAL CONSENT N 11/21/1989 N Y N
FINAL CONSENT N 10/18/1989 Y 2500 N N
FINAL OFFERSETTLE N 6/23/1993 Y 7500 N N
FINAL CONSENT N 3/19/1993 Y 2500 N N
FINAL CONSENT N 11/11/1977 N N N
FINAL CONSENT N 12/8/1989 Y 650 N N
FINAL AWC N 6/16/1999 Y 5500 N N
FINAL AWC N 8/17/2001 Y 3000 N N
FINAL AWC N 6/19/2001 Y 5000 N N
FINAL STIPCONS N 6/5/1996 Y 40000 N N
FINAL OFFERSETTLE N 3/24/1981 Y 250 N N
FINAL SETTLMNT N 11/30/2007 N N N
FINAL OFFERSETTLE N 4/24/1978 N N N
FINAL CONSENT N 12/23/1981 Y 30000 N N
FINAL AWC N 10/1/1998 Y 8000 N N
FINAL AWC N 2/28/2000 Y 6000 N N
FINAL CONSENT N 5/1/1995 Y 2500 N N
FINAL CONSENT N 11/1/1991 Y 40000 N N
FINAL CONSENT N 11/1/1991 Y 40000 N N
FINAL DECISION N 11/26/1980 Y 10000 N N
FINAL DECISION N 9/23/1992 Y 1500 N N
FINAL CONSENT N 12/22/1976 N N N
FINAL AWC N 12/5/1994 Y 3000 N N
FINAL SETTLMNT N 12/27/1996 Y 7500 N N
FINAL OFFERSETTLE N 9/17/1996 Y 5000 N N
FINAL SETTLMNT N 4/19/1974 N N N
FINAL DECISION N 3/28/1983 N N N
FINAL OFFERSETTLE N 4/27/1981 Y 2000 N N
FINAL DECISION N 5/15/1992 Y 5000 N N
FINAL CONSENT N 7/23/1991 Y 5000 N N
FINAL SETTLMNT N 8/13/1999 Y 2500 N N
FINAL AWC N 4/17/2003 Y 7500 N N
FINAL CONSENT N 1/23/1975 Y 1000 N N
FINAL CONSENT N 12/14/1962 N N N
FINAL CONSENT N 12/14/1962 Y 1000 N N
FINAL DECISION N 12/20/1995 N N N
FINAL CONSENT N 5/11/1988 N N N
FINAL CONSENT N 6/11/1984 Y 2000 N N
FINAL OFFERSETTLE N 6/17/1999 Y 20000 N N
FINAL CONSENT N 6/1/1990 Y 500 N N
FINAL STIPCONS N 11/1/1996 N N Y
FINAL SETTLMNT N 6/4/1986 Y 25000 N N
FINAL VACATED N 10/16/2000 N N N
FINAL DECISION N 5/29/1988 Y 15000 N N
FINAL DECISION N 12/30/1994 Y 22500 N N
FINAL CONSENT N 1/23/1992 Y 5000 N N
FINAL DECISION N 11/3/1986 N N N
FINAL OFFERSETTLE N 2/20/1991 Y 25000 N N
FINAL OFFERSETTLE N 2/20/1991 Y 25000 N N
FINAL OTHER N 12/28/1988 N N N
FINAL DECISION N 3/3/1973 N N N
FINAL CONSENT N 8/7/1986 Y 1000 N N
FINAL CONSENT N 8/22/1988 N N N
FINAL CONSENT N 4/17/1990 Y 5000 N N
FINAL CONSENT N 7/24/1992 Y 25000 N Y
FINAL CONSENT N 1/18/1994 N N N
FINAL CONSENT N 7/9/1976 Y 200 N N
FINAL DECISION N 2/11/1976 N N N
FINAL DECISION N 9/4/1979 N N N
FINAL ORDER N 5/1/1981 N N N
FINAL ORDER N 4/27/1976 N N N
FINAL CONSENT N 1/28/1991 N N N
FINAL CONSENT N 8/24/1990 Y 10000 N N
FINAL AWC N 12/21/1987 Y 3000 N N
FINAL CONSENT N 6/29/1984 N N N
FINAL CONSENT N 9/7/1984 Y 15000 N N
FINAL ORDER N 12/5/2005 Y 200000 N N
FINAL AWC N 5/3/1979 Y 1500 N N
FINAL AWC N 2/22/1980 Y 1000 N N
FINAL DECISION N 3/5/1981 Y 10000 N N
FINAL OFFERSETTLE N 12/14/1981 Y 1500 N N
FINAL OFFERSETTLE N 3/14/1984 Y 1500 N N
FINAL CONSENT N 1/16/1974 Y 1000 N N
FINAL OFFERSETTLE N 4/25/1988 Y 20000 N N
FINAL DECISION N 4/1/1967 N N N
FINAL DECISION N 10/1/1969 N N N
FINAL DECISION N 1/11/1975 Y 6000 N N
FINAL DECISION N 6/15/1975 Y N N
FINAL DECISION N 4/2/1976 N Y N
FINAL DECISION N 12/8/1992 Y 50000 N N
FINAL AWC N 10/19/1984 Y 2000 N N
FINAL CONSENT N 6/29/1981 N N N
FINAL OFFERSETTLE N 7/10/1996 Y 3500 N N
FINAL CONSENT N 7/15/1991 Y 15000 N N
FINAL AWC N 8/5/2005 Y 25000 N N
FINAL CONSENT N 5/13/1981 Y 500 N N
FINAL OFFERSETTLE N 6/19/1984 Y 10000 N N
FINAL CONSENT N 3/28/1984 Y 100 N N
FINAL OFFERSETTLE N 6/14/1984 N N N
FINAL OFFERSETTLE N 5/21/1979 Y 1500 N N
FINAL OFFERSETTLE N 3/23/1983 Y 4000 N N
FINAL SETTLMNT N 2/6/1977 Y 200 N N
FINAL DECISION N 10/10/1995 N N N
FINAL CONSENT N 1/19/1993 Y 3000 N N
FINAL DECISION N 3/30/1994 Y 8510 N Y
FINAL CONSENT N 3/24/1992 N N N
FINAL OFFERSETTLE N 10/10/1990 Y 50000 N N
FINAL AWC N 12/21/1993 Y 7500 N N
FINAL AWC N 8/20/2001 Y 8500 N N
FINAL DECISION N 7/31/1962 N N N
FINAL AWC N 4/28/2000 Y 15000 N Y
FINAL DECISION N 4/16/1971 Y 250 N N
FINAL ORDER N 8/15/1988 N Y N
FINAL CONSENT N 3/15/1988 N N N
FINAL CONSENT N 9/21/1993 Y 73675 N N
FINAL AWC N 11/21/2000 Y 7500 N N
FINAL SETTLMNT N 7/27/1981 N N N
FINAL SETTLMNT N 8/11/1980 Y 6000 N N
FINAL OFFERSETTLE N 9/30/1981 Y 1500 N N
FINAL DECISION N 11/14/1973 N N N
FINAL CONSENT N 9/10/1990 N N N
FINAL STIPCONS N 10/5/1998 Y 15000 N N
FINAL CONSENT N 6/9/1999 N N N
FINAL ORDER N 5/1/1978 N N N
FINAL STIPCONS N 10/24/2008 Y 500 N N
FINAL CONSENT N 12/28/1990 Y 7500 N N
FINAL CONSENT N 8/29/1991 N N N
PENDING N N N N
FINAL AWC N 2/13/1997 Y 13500 N N
FINAL DECISION N 8/23/1978 Y 1000 N N
FINAL DECISION N 12/16/1992 Y 2500 N N
FINAL CONSENT N 2/28/1990 N N N
FINAL SETTLMNT N 7/11/2003 N N N
PENDING N N N N
FINAL CONSENT N 4/14/1988 N N N
FINAL CONSENT N 2/9/1977 Y 250 N N
FINAL CONSENT N 4/25/1988 Y 7500 N N
FINAL OFFERSETTLE N 11/21/1997 Y 2500 N N
FINAL CONSENT N 8/14/1984 N N N
FINAL AWC N 6/12/1997 Y 10000 N N
FINAL DECISION N 11/19/1971 Y 500 N N
FINAL DECISION N 6/2/1980 N Y N
FINAL CONSENT N 10/22/1987 N N N
FINAL DECISION N 11/4/1992 Y 8000 N N
FINAL DECISION N 11/13/1992 Y 7500 N Y
FINAL CONSENT N 12/22/2004 Y 5000 N N
FINAL AWC N 10/30/2007 Y 27500 N N
FINAL DECISION N 6/9/1997 Y 2101.92 N N
FINAL CONSENT N 11/3/1975 N N N
FINAL DECISION N 5/30/1975 N N N
FINAL AWC N 10/29/2007 Y 20000 N N
FINAL ORDER N 5/1/1995 N N N
FINAL DECISION N 5/1/1982 N N N
FINAL CONSENT N 8/1/1994 N N N
FINAL DECISION N 4/15/1981 N Y N
FINAL DECISION N 11/2/1977 N N N
FINAL OTHER N 7/19/1974 Y 3050 N N
FINAL OTHER N 12/9/1976 N N N
FINAL OTHER N 1/11/1978 Y 750 N N
FINAL CONSENT N 12/30/2002 Y 5000 N N
FINAL DECISION N 9/11/1971 Y 107.4 N N
FINAL CONSENT N 8/24/1982 N N N
FINAL CONSENT N 6/1/1990 Y 10000 N N
FINAL STIPCONS N 11/3/1997 Y 1000 N N
FINAL DECISION N 1/4/1980 N Y N
FINAL DECISION N 2/27/1986 N N N
FINAL DECISION N 1/5/1983 N Y N
FINAL STIPCONS N 10/27/1981 Y 2000 N N
FINAL DECISION N 9/1/1966 N N N
FINAL CONSENT N 9/16/1987 N Y N
FINAL DECISION N N N N
FINAL DISMISSD N 12/14/1995 N N N
FINAL AWC N 3/20/2001 Y 25000 N N
FINAL DECISION N 3/18/1982 Y 700 N N
FINAL CONSENT N 4/30/1984 N N N
FINAL CONSENT N 8/19/1992 Y 5000 N N
FINAL OFFERSETTLE N 12/12/1994 Y 5000 N N
FINAL AWC N 3/27/1974 Y 500 N N
FINAL CONSENT N 7/24/1992 Y 4500 N N
FINAL CONSENT N 11/13/1985 N N N
FINAL CONSENT N 6/29/1994 Y 5000 N N
FINAL CONSENT N 1/17/1980 N N N
FINAL VACATED N 4/22/1998 N N N
FINAL AWC N 6/19/1990 Y 10000 N N
FINAL CONSENT N 6/19/1990 Y 10000 N N
FINAL CONSENT N 5/2/1995 Y 25000 N N
FINAL CONSENT N 5/14/2002 N N N
FINAL CONSENT N 3/13/1989 Y 3000 N N
FINAL CONSENT N 6/15/1984 N N N
FINAL CONSENT N 12/1/1981 N N N
FINAL ORDER N 10/24/1996 Y 350 N N
FINAL DECISION N 8/11/1973 N N N
FINAL CONSENT N 11/14/1985 Y 2000 N N
FINAL ORDER N 6/30/2000 Y 1500 N N
FINAL CONSENT N 10/1/1992 N N N
FINAL AWC N 5/28/1993 Y 10000 N N
FINAL CONSENT N 8/9/1984 Y 1500 N N
FINAL DECISION N 12/29/1998 Y 300 N N
FINAL DECISION N 10/1/1982 N N N
FINAL DECISION N 2/1/1982 N N N
FINAL DECISION N 1/1/1982 N N N
FINAL AWC N 7/29/1983 N N N
FINAL AWC N 12/27/1994 Y 8500 N N
FINAL DECISION N 3/10/1994 Y 10000 N N
FINAL AWC N 8/9/1994 Y 1500 N N
FINAL DECISION N 4/2/1957 N N N
FINAL DECISION N 2/14/1974 Y 5000 N N
FINAL OFFERSETTLE N 1/25/1996 N N N
FINAL CONSENT N 6/4/1980 N N N
FINAL ORDER N 12/31/1986 N N N
FINAL ORDER N 12/24/2003 N N N
FINAL DECISION N 4/28/1981 N N N
FINAL ORDER N 9/14/2006 N Y N
FINAL SETTLMNT N 3/12/1979 Y 2000 N N
FINAL CONSENT N 3/17/1981 Y 15000 N N
FINAL CONSENT N 11/12/1993 Y 7500 N N
FINAL CONSENT N 1/6/1981 N N N
FINAL CONSENT N 8/31/2005 Y 50000 N Y
FINAL CONSENT N 5/27/1986 Y 7500 N N
FINAL DECISION N 1/16/1978 Y 3500 N N
FINAL ORDER N 1/18/1999 Y 750 N N
FINAL ORDER N 7/9/2003 Y 3000 N N
FINAL DECISION N 2/22/1988 Y 3000 N N
FINAL AWC N 2/18/1992 Y 5000 N N
FINAL CONSENT N 5/23/1995 Y 10000 N N
FINAL AWC N 10/25/1985 Y 1000 N N
FINAL OFFERSETTLE N 10/31/1984 Y 500 N N
FINAL OTHER N 2/27/2001 N Y N
FINAL CONSENT N 5/7/1975 N N N
FINAL CONSENT N 4/9/2008 N N N
FINAL AWC N 7/29/1988 N N N
FINAL CONSENT N 12/20/1982 N N N
FINAL CONSENT N 5/12/1986 N N N
FINAL ORDER N 2/24/1987 N N N
FINAL CONSENT N 5/9/1985 Y 3000 N N
FINAL CONSENT N 4/30/1985 Y 1000 N N
FINAL AWC N 6/20/2007 Y 15000 N N
FINAL DECISION N 5/29/1988 N N N
FINAL CONSENT N 9/5/1984 Y 5000 N N
FINAL AWC N 8/8/2003 Y 4233.46 N Y
FINAL DECISION N 8/21/1979 Y 120 N N
FINAL CONSENT N 7/28/1980 Y 1400 N N
FINAL DECISION N 12/17/1983 N N N
FINAL CONSENT N 9/1/1984 Y 500 N N
FINAL DECISION N 9/30/1969 N N N
FINAL CONSENT N 11/17/1987 Y 5000 N N
FINAL CONSENT N 6/24/1986 Y 2000 N N
FINAL AWC N 12/29/1975 Y 500 N N
FINAL AWC N 9/4/1979 Y 500 N N
FINAL AWC N 6/27/1988 Y 250 N N
FINAL STIPCONS N 2/20/1998 Y 20000 N N
FINAL CONSENT N 8/21/1980 N N N
FINAL AWC N 8/21/1997 Y 7500 N N
FINAL AWC N 2/25/1998 Y 9500 N N
FINAL DECISION N 9/16/1980 N N N
FINAL CONSENT N 10/16/1996 Y 25000 N N
FINAL OFFERSETTLE N 6/23/1981 N N N
FINAL OFFERSETTLE N 4/30/1990 N N N
FINAL OFFERSETTLE N 6/23/1981 N N N
FINAL OFFERSETTLE N 7/31/1990 Y 7500 N N
FINAL AWC N 5/12/1987 Y 4500 N N
FINAL OFFERSETTLE N 9/10/1984 Y 7500 N N
FINAL OFFERSETTLE N 11/18/1980 N N N
FINAL ORDER N 12/11/2003 N N N
FINAL DECISION N 1/14/2005 Y 25000 N N
FINAL ORDER N 7/20/2005 N N N
FINAL STIPCONS N 4/27/2005 N N N
FINAL STIPCONS N 5/20/2005 N N N
FINAL STIPCONS N 8/30/2005 N N N
FINAL ORDER N 3/7/2006 N N N
FINAL STIPCONS N 8/10/2005 N N N
FINAL STIPCONS N 8/12/2005 N N N
FINAL ORDER N 12/5/2005 N N N
FINAL STIPCONS N 4/13/2005 N N N
FINAL STIPCONS N 5/20/2005 N N N
FINAL CONSENT N 12/21/1992 N N N
FINAL STIPCONS N 9/26/2001 Y 25000 N N
FINAL CONSENT N 2/23/1989 Y 15000 N N
FINAL STIPCONS N 4/12/2002 Y 25000 N N
FINAL ORDER N 10/4/1996 N N N
FINAL DECISION N 8/17/1979 Y 4000 N N
FINAL AWC N 11/24/1986 Y 2000 N N
FINAL AWC N 1/6/1992 Y 2500 N N
FINAL OTHER N 9/9/2008 N N N
FINAL CONSENT N 5/13/1981 Y 500 N N
FINAL AWC N 10/20/1986 Y 2000 N N
FINAL AWC N 7/28/1988 Y 2500 N N
FINAL DECISION N 1/1/1976 N N N
FINAL CONSENT N 8/1/1984 Y 13000 N N
FINAL DECISION N 11/1/1983 N N N
FINAL CONSENT N 6/1/1983 N N N
FINAL DECISION N 10/1/1983 N N N
FINAL DECISION N 8/1/1981 Y 1000 N N
FINAL DECISION N 1/1/1981 N N N
FINAL CONSENT N 4/1/1981 N N N
FINAL CONSENT N 3/31/1989 Y 3500 N N
PENDING N N N N
FINAL OFFERSETTLE N 7/19/1991 Y 5000 N N
FINAL CONSENT N 3/31/1980 N N N
FINAL DECISION N 7/25/1991 N N N
FINAL DECISION N N N N
FINAL CONSENT N 12/22/1977 Y 3000 N N
FINAL CONSENT N 5/1/1972 Y 2000 N N
FINAL DECISION N 6/1/1960 N N N
FINAL STIPCONS N 8/6/1981 Y 900 N N
FINAL CONSENT N 7/25/1980 N N N
FINAL AWC N 6/20/1994 Y 7500 N N
FINAL DECISION N 12/3/1981 N N N
FINAL DECISION N 1/11/1994 Y 2500 N N
FINAL DECISION N 3/4/1979 N N N
FINAL CONSENT N 8/17/1988 N N N
FINAL CONSENT N 5/15/1995 Y 2617.99 N N
FINAL CONSENT N 6/6/1991 Y 10000 N N
FINAL CONSENT N 6/24/1980 Y 1000 N N
FINAL DECISION N 11/15/1979 N N N
FINAL DECISION N 9/29/1973 Y 500 N N
FINAL AWC N 3/14/1989 Y 9000 N N
FINAL OFFERSETTLE N 11/4/1997 Y 2500 N N
FINAL CONSENT N 1/30/1979 N N N
FINAL VACATED N 11/30/1979 N N N
FINAL DECISION N 12/28/1976 N N N
FINAL AWC N 9/6/1996 Y 50000 N Y
FINAL SETTLMNT N 4/22/2004 Y 5000 N N
FINAL ORDER N 11/17/2005 N N N
FINAL CONSENT N 1/24/1990 Y 1500 N N
FINAL CONSENT N 10/20/2008 N N N
FINAL CONSENT N 7/21/1987 Y 5000 N N
FINAL DECISION N 11/1/1996 N N N
FINAL CONSENT N 4/22/1996 Y 2560 N N
FINAL CONSENT N 8/24/1995 N N N
FINAL SETTLMNT N 1/27/1999 Y 20000 N N
FINAL ORDER N 1/23/1995 N N N
FINAL OTHER N 10/24/1996 N N N
FINAL CONSENT N 4/16/2009 Y 2500 N N
FINAL AWC N 6/3/2008 Y 25000 N N
FINAL OTHER N 10/10/2008 Y 1500 N N
FINAL AWC N 3/3/2005 Y 5000 N N
FINAL STIPCONS N 4/30/1998 N N N
FINAL OFFERSETTLE N 11/9/1998 Y 15000 N N
FINAL STIPCONS N 12/7/1999 Y 1000 N N
FINAL AWC N 9/8/2004 Y 60000 N N
FINAL CONSENT N 5/25/2005 N N N
FINAL AWC N 9/16/2004 Y 5000 N N
FINAL CONSENT N 10/25/1995 N N N
FINAL AWC N 10/17/1995 Y 2500 N N
FINAL DECISION N 12/20/2005 N N N
FINAL ORDER N 8/22/2007 N N N
FINAL STIPCONS N 12/29/1997 Y 7500 N N
FINAL CONSENT N 11/8/1996 N N N
FINAL STIPCONS N 1/4/1999 N N N
FINAL OTHER N 2/26/1999 N Y N
FINAL DECISION N 3/10/2009 N N N
FINAL AWC N 5/14/2004 Y 30000 N N
FINAL VACATED N 6/16/1998 N N N
FINAL AWC N 4/3/2009 Y 10000 N N
FINAL CONSENT N 3/15/1994 Y 5000 N N
FINAL OTHER N 3/12/2003 N N N
FINAL CONSENT N 10/20/2008 N N N
FINAL AWC N 9/10/2001 Y 8000 N Y
FINAL ORDER N 11/27/2001 N Y N
FINAL ORDER N 8/28/2002 N N N
FINAL CONSENT N 7/27/1994 N N N
FINAL CONSENT N 12/14/1994 N N N
FINAL ORDER N 5/13/2006 Y 15000 N N
FINAL DECISION N 8/28/1995 N N N
FINAL CONSENT N 11/5/1998 N N N
FINAL DECISION N 1/13/1997 N N N
ONAPPEAL DECISION N 4/24/2007 N N N
FINAL CONSENT N 11/29/1994 N N N
FINAL AWC N 5/8/2007 Y 10000 N N
FINAL STIPCONS N 9/9/1997 N N N
FINAL AWC N 11/30/1994 Y 2890 N N
FINAL AWC N 8/13/1997 Y 4000 N N
FINAL AWC N 11/8/2004 Y 5000 N N
FINAL ORDER N 8/4/2006 N N N
FINAL DECISION N 6/29/1992 N N N
PENDING N N N N
FINAL CONSENT N 10/4/2004 N N N
FINAL SETTLMNT N 1/23/2006 Y 40000 N N
FINAL ORDER N 7/11/2008 Y 1000 N N
FINAL CONSENT N 2/23/1993 N N N
FINAL ORDER N 2/8/1999 N N N
PENDING N N N N
FINAL AWC N 9/8/2004 Y 5000 N N
FINAL CONSENT N 5/25/2005 N N N
FINAL AWC N 7/6/1999 Y 5000 N N
FINAL DECISION N 8/21/2000 Y 3000 N N
FINAL STIPCONS N 3/2/2006 Y 250 N N
PENDING N N N N
FINAL ORDER N 7/13/2004 Y 5000 N N
FINAL ORDER N 12/22/2004 Y 15000 N N
FINAL AWC N 6/19/2006 Y 30000 N N
FINAL AWC N 11/9/2004 Y 7500 N N
FINAL WITHDRWN N 7/6/2005 N N N
FINAL VACATED N 1/16/1998 N N N
FINAL DECISION N 11/12/1997 Y 12500 N N
FINAL OTHER N 10/26/2006 N N N
FINAL AWC N 4/29/2004 Y 10000 N N
FINAL CONSENT N 4/1/2003 Y 7500 N N
FINAL STIPCONS N 1/6/2005 Y 1000 N N
FINAL AWC N 12/6/2004 Y 7500 N N
FINAL AWC N 11/27/2007 Y 25000 N N
FINAL CONSENT N 4/19/1994 N N N
FINAL SETTLMNT N 4/1/2002 Y 10000 N N
FINAL OTHER N 9/28/2000 N N N
FINAL DISMISSD N 5/14/1998 N N N
FINAL CONSENT N 5/2/2002 Y 1000 N N
FINAL CONSENT N 5/27/1997 N N N
FINAL CONSENT N 3/28/1997 N N N
FINAL AWC N 12/9/2004 Y 7500 N N
FINAL DECISION N 12/21/1995 N N N
FINAL AWC N 12/1/2000 Y 5000 N N
FINAL OTHER N 10/14/1998 Y 5000 N N
FINAL ORDER N 7/9/2001 N Y N
FINAL ORDER N 1/11/1999 N N N
FINAL STIPCONS N 12/10/1999 N N N
FINAL CONSENT N 6/2/1992 Y 2000 N N
FINAL ORDER N 10/26/2006 N N N
FINAL CONSENT N 1/4/1996 N N N
FINAL CONSENT N 8/24/1995 N Y N
FINAL OFFERSETTLE N 9/22/2005 Y 2500 N N
FINAL OFFERSETTLE N 9/21/1999 Y 5000 N Y
FINAL DECISION N 4/25/2000 Y 5000 N N
FINAL CONSENT N 12/22/1994 N Y N
FINAL CONSENT N 9/23/1997 Y 500 N N
FINAL STIPCONS N 6/21/2002 Y 5000 N N
FINAL CONSENT N 3/19/1995 Y 2000 N N
FINAL STIPCONS N 12/21/1998 N N N
FINAL ORDER N 5/2/2005 N N N
FINAL DECISION N 1/25/2002 N N N
FINAL DECISION N 5/1/1987 N N N
FINAL AWC N 4/1/2004 Y 6000 N N
FINAL AWC N 10/9/1996 Y 3740 N N
FINAL DECISION N 8/30/1994 Y 500 N N
FINAL OFFERSETTLE N 2/12/2002 Y 30000 N N
FINAL AWC N 3/12/2004 Y 10000 N N
FINAL CONSENT N 1/25/2001 N N N
FINAL CONSENT N 5/20/2004 Y 8500 N N
FINAL VACATED N 11/24/1997 N N N
FINAL VACATED N 10/16/1997 N N N
FINAL AWC N 9/20/2000 Y 5000 N N
FINAL ORDER N 10/22/2007 Y 55500 N N
FINAL OTHER N 4/1/1997 N Y N
FINAL CONSENT N 10/4/1996 N N N
FINAL DECISION N 7/31/1980 N N N
FINAL AWC N 10/27/1999 Y 2500 N N
FINAL CONSENT N 1/5/2004 Y 5000 N N
FINAL AWC N 3/17/1998 Y 500 N N
FINAL CONSENT N 8/13/1998 Y 1000 N N
FINAL CONSENT N 6/8/1993 Y 3000 N N
FINAL AWC N 4/16/1998 Y 5000 N N
FINAL AWC N 12/31/2003 Y 10000 N N
FINAL STIPCONS N 4/13/2005 Y 1500 N N
FINAL CONSENT N 5/17/2001 Y 2000 N N
FINAL DISMISSD N 2/24/1999 N N N
FINAL DECISION N 9/20/1997 N N N
FINAL OFFERSETTLE N 12/10/1997 Y 250 N N
FINAL OFFERSETTLE N 8/27/1991 Y 500 N N
FINAL STIPCONS N 9/26/2006 Y 5000 N N
FINAL CONSENT N 8/15/2005 N N N
FINAL OFFERSETTLE N 12/20/2005 Y 15000 N N
PENDING N N N N
FINAL OFFERSETTLE N 10/16/2008 N N Y
FINAL DECISION N 2/16/1998 Y 200 N N
FINAL CONSENT N 3/16/1998 Y 200 N N
FINAL ORDER N 5/18/2005 N Y N
FINAL OFFERSETTLE N 10/28/1997 Y 6000 N N
FINAL ORDER N 5/18/1998 N Y N
FINAL CONSENT N 8/7/2002 Y 1000 N N
FINAL ORDER N 8/24/2001 N Y N
FINAL AWC N 6/23/1999 Y 5000 N N
FINAL CONSENT N 10/17/2007 Y 1000 N N
FINAL AWC N 12/8/2003 Y 9000 N N
FINAL SETTLMNT N 7/11/2005 Y 5000 N N
FINAL CONSENT N 1/30/1996 N N N
FINAL SETTLMNT N 9/19/1994 Y 20000 N N
FINAL CONSENT N 6/12/1998 N Y N
FINAL OTHER N 6/6/1999 N N N
FINAL AWC N 11/28/2006 Y 15000 N N
FINAL CONSENT N 6/28/2005 Y 3000 N N
FINAL CONSENT N 9/1/2006 Y 6000 N N
FINAL AWC N 2/1/2006 Y 5000 N N
FINAL ORDER N 1/16/2007 N N N
FINAL DECISION N 10/29/1987 Y 2500 N N
FINAL AWC N 11/29/2005 Y 5000 N N
FINAL CONSENT N 7/5/2006 N N N
FINAL SETTLMNT N 3/13/1989 Y 1250 N N
FINAL OFFERSETTLE N 4/15/2004 Y 250 N N
FINAL OFFERSETTLE N 2/13/2003 Y 5000 N Y
FINAL ORDER N 11/14/2000 Y 25 N N
FINAL OFFERSETTLE N 4/26/2001 Y 8000 N Y
FINAL CONSENT N 10/10/2001 N N N
FINAL AWC N 8/1/2007 Y 40000 N N
FINAL ORDER N 10/12/2000 Y 100 N N
PENDING N N N N
FINAL AWC N 2/5/2008 Y 5000 N N
FINAL VACATED N 6/4/1998 N N N
FINAL AWC N 4/15/2003 Y 5100 N N
FINAL STIPCONS N 9/18/1996 N N N
FINAL SETTLMNT N 7/15/2000 Y 45000 N N
FINAL CONSENT N 2/18/1998 Y 1000 N N
FINAL AWC N 11/23/1998 N N Y
FINAL ORDER N 8/6/1990 N N N
FINAL ORDER N 2/22/1999 Y 500 N N
FINAL AWC N 4/17/2003 Y 7500 N N
FINAL SETTLMNT N 8/9/1996 Y 500 N N
FINAL SETTLMNT N 6/13/2001 Y 10000 N N
FINAL AWC N 8/2/2005 Y 20000 N N
FINAL AWC N 12/31/2003 Y 5000 N N
FINAL ORDER N 2/16/1999 Y 250 N N
FINAL CONSENT N 7/14/2006 Y 150 N N
FINAL AWC N 5/3/2006 Y 10000 N N
FINAL CONSENT N 10/20/2008 N N N
FINAL OTHER N 8/22/2007 N N N
FINAL OTHER N 3/24/2005 N N N
FINAL CONSENT N 9/24/2004 Y 2000 N N
FINAL DECISION N 8/24/1982 Y 100 N N
FINAL AWC N 8/8/2008 Y 5000 N N
FINAL OTHER N 10/1/1994 N N N
FINAL OTHER N 3/21/2006 N Y N
FINAL ORDER N 10/28/1998 Y 500 N N
FINAL DECISION N 10/21/2003 Y 25000 N N
FINAL AWC N 10/22/2004 Y 5000 N N
FINAL STIPCONS N 7/10/2000 Y 100 Y N
FINAL STIPCONS N 4/7/1998 N N N
FINAL AWC N 3/23/2003 Y 7500 N N
FINAL CONSENT N 9/22/2003 N N N
FINAL AWC N 12/20/2005 Y 10000 N N
FINAL ORDER N 9/28/2006 N N N
FINAL CONSENT N 2/7/2008 N N N
FINAL VACATED N 5/20/2008 Y 50 N N
FINAL DECISION N 8/3/2007 N Y N
FINAL OFFERSETTLE N 4/7/1998 N N N
FINAL SETTLMNT N 11/7/2007 Y 50 N N
FINAL SETTLMNT N 5/6/2004 Y 75000 N N
FINAL ORDER N 8/21/1998 N Y N
FINAL AWC N 8/8/2005 Y 15000 N N
FINAL AWC N 8/30/2001 Y 5000 N N
FINAL CONSENT N 5/28/2002 Y 500 N N
FINAL ORDER N 11/23/1998 Y 250 N N
FINAL AWC N 11/14/2001 Y 5000 N N
FINAL ORDER N 6/24/2005 N Y N
FINAL ORDER N 12/12/2006 N N N
FINAL SETTLMNT N 8/1/1998 N N N
FINAL VACATED N 10/22/2004 N N N
FINAL AWC N 7/31/2007 Y 20000 N N
FINAL ORDER N 8/25/2008 N Y N
FINAL CONSENT N 7/19/1998 N N N
FINAL STIPCONS N 12/19/2007 Y 10000 N N
FINAL DECISION N 10/13/1994 N Y N
FINAL ORDER N 9/6/1991 Y 1000 N N
FINAL DISMISSD N 4/25/2000 N N N
FINAL ORDER N 9/7/2001 N Y N
FINAL ORDER N 3/16/2006 N N N
FINAL AWC N 7/1/2003 Y 5000 N N
FINAL STIPCONS N 3/8/2005 Y 40000 N N
FINAL CONSENT N 2/16/2006 Y 7500 N N
FINAL ORDER N 1/2/1997 N N N
FINAL OTHER N 2/20/2002 N N N
FINAL CONSENT N 2/21/2006 Y 250 N N
FINAL CONSENT N 4/27/2000 N N N
FINAL CONSENT N 4/6/2005 Y 500 N N
FINAL STIPCONS N 3/23/2006 N N Y
FINAL SETTLMNT N 11/22/2005 Y 250 N N
FINAL SETTLMNT N 3/25/2005 Y 50 N N
FINAL OFFERSETTLE N 8/24/2006 Y 250 N N
FINAL DISMISSD N 3/21/2006 Y 100 Y N
FINAL ORDER N 5/25/2006 Y 2500 N N
FINAL AWC N 9/15/2005 Y 7500 N N
FINAL CONSENT N 4/26/2006 N N N
FINAL ORDER N 12/26/2003 N Y N
FINAL OTHER N 7/1/1999 N N N
FINAL CONSENT N 6/23/2005 N N N
FINAL OTHER N 4/14/1997 N N N
FINAL AWC N 6/1/2004 Y 15000 N N
FINAL OTHER N 9/10/2004 N Y N
FINAL ORDER N 6/21/2005 N Y N
FINAL AWC N 9/16/2004 Y 10000 N Y
FINAL STIPCONS N 4/13/2005 Y 750 N N
FINAL ORDER N 4/20/2007 Y 250 N N
FINAL ORDER N 11/1/2007 Y 1500 N N
FINAL OTHER N 9/2/2003 N N N
PENDING N N N N
FINAL STIPCONS N 3/23/2006 N N Y
FINAL ORDER N 4/20/2001 Y 500 N N
FINAL SETTLMNT N 7/19/2000 Y 200 N N
FINAL AWC N 6/19/2006 Y 30000 N N
FINAL VACATED N 1/22/2002 N N N
FINAL VACATED N 1/25/2002 N N N
FINAL AWC N 8/11/2008 Y 5000 N N
FINAL ORDER N 2/15/2002 N Y N
FINAL ORDER N 7/14/2008 Y 5000 N N
FINAL AWC N 3/18/2009 Y 2500 N N
FINAL ORDER N 6/30/2004 Y 3000 N N
FINAL ORDER N 9/14/2007 Y 9000 N N
FINAL SETTLMNT N 11/11/1983 N N N
FINAL ORDER N 11/14/2008 Y 7500 N N
FINAL ORDER N 12/21/2004 N N N
FINAL DECISION N 8/16/2004 N Y N
FINAL AWC N 4/14/2004 Y 5000 N N
FINAL AWC N 12/2/2004 Y 15000 N N
FINAL CONSENT N 11/10/2005 Y 35000 N N
FINAL ORDER N 2/7/2008 N N N
FINAL SETTLMNT N 5/1/1999 N Y N
FINAL WITHDRWN N 11/1/2001 N N N
FINAL SETTLMNT N 7/13/2006 Y 10000 N N
FINAL OFFERSETTLE N 9/15/2003 Y 5000 N N
FINAL AWC N 1/18/2007 Y 10000 N N
FINAL ORDER N 11/7/2003 N Y N
FINAL DECISION N 12/20/2005 N Y N
FINAL SETTLMNT N 12/18/2007 Y 250 N N
FINAL SETTLMNT N 12/18/2007 N Y N
FINAL STIPCONS N 6/26/2008 Y 750 N N
FINAL SETTLMNT N 2/20/2009 Y 175 N N
FINAL VACATED N 9/24/2002 N N N
FINAL VACATED N 4/22/2003 N N N
FINAL VACATED N 9/11/2008 N N N
FINAL STIPCONS N 1/13/2006 Y 500 N N
FINAL DECISION N 7/2/2003 N N N
FINAL ORDER N 7/10/2006 N Y N
FINAL SETTLMNT N 1/23/2008 Y 50 N N
FINAL CONSENT N 6/27/2008 Y 7500 N N
FINAL OTHER N 12/20/2004 N N N
FINAL CONSENT N 10/2/2007 Y 500 N N
FINAL OTHER N 8/19/2008 Y 50 N N
FINAL DECISION N 9/1/2005 N N N
FINAL OTHER N 8/17/2007 N N N
FINAL CONSENT N 3/16/2007 N N N
FINAL SETTLMNT N 4/15/2003 Y 250 N N
FINAL OTHER N 1/1/2000 Y 1000 N N
FINAL ORDER N 11/15/2008 N N N
FINAL OTHER N 2/14/2008 N N N
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snctnDtl
FINE OF $5,000 AND A TWO WEEK SUSPENSION
FINE & CENSURE
STIPULATION OF FACTS AND CONSENT TO PENALTY OF
SEVENTEEN DAY SUSPENSION.
FINE OF $10,000 AND A CENSURE - INCORRECT
CORRECTION - FINE WAS $5,000.00
UPON APPROVAL OF AWC, A CENSURE AND A MONETARY
FINE IN THE AMOUNT OF $10,000.00 TO BE ASSESSED JOINTLY AND
SEVERALLY AGAINST R.M. DUNCAN SECURITIES, INC. AND RALLDALL M.
DUNCAN
EFFECTIVE 7/19/04, SUSPENDED FOR NINE MONTHS FROM ASSOCIATION IN A SUPERVISORY CAPACITY WITH ANY BROKER OR
A CIVIL MONETARY PENALTY OF $10,000.00 WAS PAID
FINE AND CENSURE. $2575.00 PAID 4/3/95
FINE OF 2,575.00 CENSURE AND ONE WEEK SUSPENSION
OFFER OF SETTLEMENT BY CALKINS WAS ACCEPTED;
CENSURED AND FINED $2,500.00
RESPONDENT WAS ASSESSED AN ADMINISTRATIVE FINE IN THE AMOUNT OF $5,000 PAYABLE TO THE STATE OF TEXAS CONTE
ADMINISTRATIVE FINE $5000 PAID ON 1/22/04.
TOTAL FINE WAS $7500.00 OF WHICH INDIVIDUAL RESPONDENT WAS RESPONSIBLE FOR $2500.00.
REPRIMANDED AND ASSESSED AN ADMINISTRATIVE FINE $500, PAYABLE CONTEMPORANEOUSLY WITH DELIVERY OF CONSEN
A CONSENT ORDER WAS ISSUED ON 1/29/99 WHICH ORDERED THAT MR. TERRY BEEMAN BE CENSURED.
COHN COMMIDITIES (THE FCM) RECEIVED $25,000
FINE. STUART COHN RECEIVED A 60 DAYS SUSPENSION. MICHAEL
LEIGH RECEIVED A 30 DAY SUSPENSION
##################################################################################
WITHOUT ADMITTING OR DENYING VIOLATION,
CONSENTED TO A CENSURE & $50,000 MONETARY FINE ASSESSED JOINTLY
& SEVERALLY AGAINST MYSELF, HOWARD WEILL & A NUMBER OF OTHER
WEILL REGISTRANTS.
AWC, MORETARY FINE OF $3000.
STATE OF FLORIDA TREASURER & INSURANCE COMMISSIONER ORDERED ME TO PAY $1,000.00 FOR INVESTIGATION COSTS.
INVESTMENT ADVISOR CERTIFICATE REISSUED
MR. EVANS WILL PAY A MONETARY FINE IN THE AMOUNT OF $10,000 AND RESTITUTION IN THE AMOUNT OF $20,130.81.
NASD RESIGNATION REVOKED AS OF 02/26/2004
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT RICHARD D. BIEBEL CONSENTED TO THE FINING OF
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT RICHARD D. BIEBEL CONSENTED TO THE FINDING O
SETTLED $5000 FINE, 10 DAY SUSPENSION ENDING ON 12/16/2005, AND RESTITUTION.
REVOCATION OF INDIANA REGISTRATION FOR TWO
YEARS.
APPLICATION WAS DENIED
##################################################################################
THE CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT
WHEREBY THE RESPONDENT (MR. LUKSIS) DID NOT ADMIT OR DENY THAT
CBOE RULES HAD BEEN VIOLATED WHILE HE WAS WITH E.F. HUTTON &
CO. RESULT WAS A SANCTION: A CENSURE AND $2,000.00 FINE.
CHARGE I - NOT GUILTY
CHARGE II - ONLY IN ONE CUSTOMER ACCOUNT.
MR. WEYHE WAS CENSURED AND SUSPENDED FOR 1 MONTH SERVED - DEC
7 1991 THRU TO JAN 6 1992 NO FINES, PAYMENTS OR SETTLEMENTS
I WAS PREVENTED FROM BUSINESS DURING THAT TIME OF THE INVESTIGATION UNDER THE CEASE AND DESIST ORDER. THE
$50,000 FINE PAID OVER 2 YEARS
APPERENTLY ON OR ABOUT 10/15/68, I WAS SUSPENDED AS A REGISTERED REP. IT SEEMS AS THOUGH THE SUSPENSION WA
THE APPLICANT AND REGISTRANT EACH CENSURED AND A JOINT AND SEVERAL FINE OF $10,000.OO PAID IN FULL
MY LICENSE WAS REVOKED ON 1/10/90 IN THE STATE
OF MICHIGAN. I WAS APPROVED ON 1/12/90. THE $15.00 FEE WAS
RECENTLY PAID.
CONSENT TO CENSURE AND $200 FINE JOINTLY AND
SEVERALLY AGAINST GLOBAL CAPITAL SECURITIES INC. AND MYSELF.
THE FINE WAS PAID BY GLOBAL CAPITAL SECURITIESL; I DID NOT PAY
ANYTHING
##################################################################################
##################################################################################
THE VIOLATION WAS TECHNICAL IN NATURE AND
OCCURED ONLY BECAUSE THE REGISTRANT HAD NO REASON TO BELIEVE
THE PURCHASER WAS A RESTRICTED ACCOUNT. LORI S. MATHUSEK
ACCEPTED A PENALTY OF CENSURE AND A $300.00 FINE.
AGREED ORDER IN WHICH APPLICANT AGREED TO CEASE
AND DESIST FROM FURTHER VIOLATIONS OF TENNESSEE SECURITIES ACT.
A $500 FINE PAID, APPLICANT ALLOWED TO WITHDRAW 12-8-89, U-4
APPLICATION AND TO RE-APPLY AT ANYTIME AS AGENT.
CENSURE AND 9 MONTH SUSPENSION WHICH ENDED 4-9-93
RESULTS: PREVIOUS ORDER MODIFIED PURSUANT TO A CONSENT ORDER. TRICARICO AGREES NOT TO APPLY FOR AGENT REG
ACCEPTANCE WAIVER AND CONSENT TO A 90 DAY
SUSPENSION AS A PRINCIPAL. 10 DAY SUSPENSION AS A
REPRESENTATIVE, $30,000 FINE.
AWAC - CENSURE AND FINED $12500 JOINTLY AND SEVERALLY. FIRM REQUIRED TO ACCEPT AWAC OR BE SUBJECTED TO ADD
MR. FLATER IS BARRED FROM ASSOCIATION IN ANY SUPERVISORY CAPACITY FOR A PERIOD OF 3 YEARS WITH THE RIGHT TO R
CENSURE AND FINE OF $3,500.00 TO GDN SECURITIES
DISPUTE WAS SETTLED BY INVESTMENT SPONSOR (AMGC
- ELEVENTH HOUR INC) AGREED TO PAY [CUSTOMER] $80,000.00 WHICH
WAS HER INVESTMENT IN THEIR COMPANY.
$1000.00 FINE, 1 DAY SUSPENSION, CENSURE. SIGNED
LETTER OF ACCEPTANCE, WAIVER & CONSENT.
A $5,000 MONETARY FINE WAS IMPOSED JOINTLY AND SEVERALLY AGAINST THE FIRM AND MYSELF. THE FINE WAS PAID ON
UNKNOWN. U-6 WAS NOT SENT TO ME, I WAS NOTIFIED
THROUGH ROBERT W. BAIRED BY THEM LOOKING INTO MY CRD RECORDS.
MR. CRADER WAS CENSURED, FINED $2500.00 &
REQUIRED TO REQUALIFY BY EXAMINATION AS A GENERAL SECURITIES
SUPERVISOR IN THE EVENT HE DESIRES TO ACT IN A SUPERVISORY
CAPACITY IN THE FUTURE. MR. CRADER WAS ASSESED THE COSTS OF THE
PROCEEDING: $2365.90.
AWC SETTLEMENT AND FINE OF $2500. FINE PAID IN FULL 2/12/1996.
SUSPENSION OF GENERAL SECURITIES PRINCIPAL WILL COMMENCE WITH THE OPENING OF BUSINESS 9/5/1997, AND WILL CO
##################################################################################
##################################################################################
THE DISCIPLINARY ORDER REPRIMANDING AND FINING MR. SANFORD $1000 ALSO REPRIMANDED AND FINED THE DEALER, K
##################################################################################
##################################################################################
MICHAEL LEIBOWITZ, WITHOUT ADMITTING ANY VIOLATION OF VIRGINIA LAW, MADE THIS OFFER OF SETTLEMENT TO THE C
MICHAEL LEIBOWITZ WAIVED HIS RIGHT TO A HEARING AND DESIRED TO ENTER INTO THIS CONSENT ORDER TO RESOLVE TH
##################################################################################
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NOT PROVIDED
CENSURE AND JOINT AND SEVERAL FINE TRIPP & CO.,
INC. AND O'CONNOR $5,000.00
FINE JOINTLY AND SEVERALLY 12,500 AWAITING PAYMENT PLAN FROM NASD
FINE $5,000.00 JOINTLY AND SEVERALLY PAYMENT PLAN BEING ARRANGED
RESULTED IN CENSURE AND $1000 FINE
MONETRAY FINE OF $5000
A MONETARY FIRN IN THE AMOUNT OF $5,000, IMPOSED JOINTLY AND SEVERALLY WITH TEJAS SECURITIES GROUP, INC. PAI
I ENTERED INTO A LETTER OF ACCEPTANCE WAIVER &
CONSENT ON 10/21/87 & AGREED TO PAY $5000.00 FINE AND A
CENSURE.
APPLICATION WAS DENIED
HAVE NOT REQUESTED REGISTRATION - NO BUSINESS IN
STATE OF ALABAMA
FINE 250.00 AND ONE YEAR PROBATION
##################################################################################
THE OHIO DEPARTMENT OF COMMERCE AND ITS COUNSEL HAVE REVIEWED AND DISCUSSED THE EVIDENCE RELEVANT TO TH
BUREAU ACCEPTED MY OFFER OF SETTLEMENT IN THE AMOUNT OF $1500.
FINE PAID IN THE AMOUNT OF $500.00
##################################################################################
SUMMARY SUSPENSIONS VACATED, TEMPORARY CEASE AND
DESIST ORDER VACATED. ADMINISTRATIVE COMPLAINT DISMISSED.
WITHOUT ADMITTING OR DENYING THE COMPLAINT OFFER
OF SETTLEMENT CENSURE AND FINE $5000.00
##################################################################################
I WAS FINED $1000 BY THE INDIANA DEPT. OF
INSURANCE. A $60,000 SETTLEMENT WAS PAID BASED ON $30,000 OF
MEDICAL CLAIMS. THE FINE WAS INSTITUTED BECAUSE THE HEALTH
INSURANCE COMPANY WAS NOT LICENSED TO DO BUSINESS IN THE STATE
OF INDIANA.
FINDING OF VIOLATION OF ARTICLE III SECTIONS 1
AND 27 OF NASD OF FAIR PRACTICE. CENSURED
PURSUANT TO AWC:CENSURE AND FINE OF 30000.00 IMPOSED JOINTLY AND SEVERALLY AGAINST THE FIRM , MYSELF AND R
$2500.00 ADMINISTRATIVE FINE LEVIED AGAINST RR PAYABLE WITHIN 30 DAYS OF THE ISSUANCE OF THE CONSENT ORDER.
THE FIRM AND THE REPRESENTATIVE PROVIDED RESTITUTION TO THE INVESTOR AND THE CUSTOMER COMPLAINT WAS DISM
##################################################################################
FINED $1,500 AND REQUIRED TO DISGORGE $323.20
A CENSURE AND MONETARY FINE OF $7,500.00 ASSESSED
JOINTLY AND SEVERALLY.
VIOLATION OF NASD CONDUCT RULES 2110 AND 2310(A). FRESK WILL BE SUSPENDED FROM ASSOCIATING WITH ANY MEMB
SEE 12B ABOVE
THE FINE WAS JUST ORDERED
FINANCIAL WEST GROUP & I SHARED & JOINTLY A FINE
OF $2500.00 WHICH WAS PAID 1/2 AND 1/2 RESPECTIVELY.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS
CONTAINED IN THE COMPLAINT, SETTLEMENT WAS MADE BY ACCEPTING A
CENSURE AND FINE OF $2,500
FIRM WAS FINED $2500.00 AND I TOOK AND PASSED
THE PRINCIPAL LICENSE EXAM.
A CEASE AND DESIST ORDER WITH DOING FURTHER SECURITIES BUSINESS WITH ANY KANSAS
RESIDENT UNTIL REGISTERED.
(SPECIAL STIPULATION ORDER WAS ISSUED INSTEAD CEASE & DESIST).
CENSURE AND FINE
REGISTRANT WAS CENSURED AND FINED FOR VIOLATION
OF ARTICLE III, SECTION 1 OF THE NASDS RULES OF FAIR PRACTICE
FOR MAKING WRITTEN MATERIAL MISREPRESENTATION IN THE SALE OF
SECURITIES.
I WAS FINED $10,000 AND WAS RESTRICTED FROM
ACTING AS A PRINCIPLE FOR 5 BUSINESS DAYS.
ALLISON WAS CENSURED AND FINED $10,000.00 &
SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF THE NASD IN ANY
CAPACITY FOR 5 DAYS!
ABSOLUTION
##################################################################################
$5,000.00 PAID IN FULL AUGUST 18, 1999.
FINE OF $15,000 TO BE PAID.
I WAS FINED $1,000.00 WHICH WAS PAID ON 04/12/1990
##################################################################################
CONSENT ORDER OF CENSURE AND PROHIBITION
REP ENTERED INTO A CONSENT ORDER WITH THE
SECRETARY OF STATE OF MISSOURI WITHOUT ADMITTING OR DENYING
ALLEGATIONS. ADDITIONALLY, WITHIN SAID CONSENT ORDER, REP
AGREED TO PAY $7,632 TO THE MISSOURI SECRETARY OF STATE'S
INVESTOR EDUCATION FUND.
CIVIL PENALTY OF $1,500.00 ON 01/03/2007
CENSURE AND MONETARY FINE WAS A JOINT AND SEVERAL MONETARY FINE OF $7,500 AGAINST GARY DON HALBERT AND [
FINE OF $5000.00 TO PAID AT A LETTER DATE. I
ALSO EXECUTED A LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
WHICH AMOUNTS TO A CENSURE AND A FINE. ($5000 ALREADY
SPECIFIED)
THE STATE ORDERED A CEASE AND DESISIT BECAUSE OF LOST PAPERWORK
MICHIGAN ISSUED AN ORDER TO REVOKE AND DENY
EXEMPTIONS AND TO CEASE AND DESIST PURSUANT TO THE MICHIGAN
UNIFORM SECURITY ACT.
W & B WAS FINED 3000.00 & CERTAIN INDIVIDUALS
WERE FINED 300.00 EACH & AGREED TO BE SUSPENDED FOR SIX MONTHS
AFTER BECOMING LICENSED.
##################################################################################
SUSPENDED FROM SUPERVISORY CAPACITIES FOR FOUR MONTHS STARTING JULY 18, 2005 AND ENDING NOVEMBER 17 2005
SUSPENDED FROM SUPERVISION 11/04/2005-11/17/2005
##################################################################################
THERE WERE NO FINES, SUSPENSIONS OR TRAINING REQUIREMENTS. THE ORDER WAS STRICTLY A CEASE AND DESIST.
##################################################################################
$2500.00 FINE PAID MAY 22,2002
WITHOUT ADMITTING OR DENYING THE ALLEGED
VIOLATIONS, I AGREED TO CENSURE AND A JOINT AND SEVERAL FINE OF
$5000.00
JOHNSON ENTERED INTO A CONSENT ORDER OF
SUSPENSION AND CENSURE AGREEING TO A REIMBURSEMENT OF STATE'S
COST OF INVESTIGATION TWO WEEK SUSPENSION, AND REFRAIN FROM
ACTING AS A DESIGNATED PRINCIPAL FOR A PERIOD OF 6 MONTHS FROM
THE DATE OF THE CONSENT ORDER.
SUSPENSION TO COMMENCE WITH THE OPENING OF BUSINESS ON 10/16/2000 AND CONCLUDE AT THE CLOSE OF BUSINESS
CENSURED & FINED $3087.00
FINE WAS PAID DECEMBER 1, 1986 IN THE AMOUNT OF $1,000.00
THE FIRM CONSENTED TO A MONETARY FINE OF
$1,000.00. JOINTLY AND SEVERALLY. 10/27/1986- THE FIRM ISSUED
CHECK #505 FOR $1,000.00 TO [FINRA REPRESENTATIVE], TREASUERE, NASD
INC. 1735 K STREET NW, WASHINGOTN, DC 20006.
CIVIL MONETARY PENALTY OF $ 50,000 PAID 10/3/06
DISCORGEMENT AND PREJUDGMENT INTEREST IN THE AMOUNT OF $1.00 AND A CIVIL MONEY PENALTY IN THE AMOUNT OF
##################################################################################
##################################################################################
* PAYMENT OF $ 5,000 FINE.
THE NASD'S DECISION AND ORDER OF SETTLEMENT
IMPOSED THE PENALTY OF (A) CENSURE AND (B) A FINE OF $15,000
(INCLUDING DISGORGEMENT OF $9,350 JOINTLY AND SEVERALLY. THE
DISGORGEMENT RELATED TO MR. TREECE WAS $600.
1) CENSURE; AND 2) $2,000.00 FINE
THREE MONTH SUSPENSION. LICENSE HAD EXPIRED
SEVERAL YEARS EARLIER. I WAS NOT WITH A SECURITIES FIRM AT THIS
TIME. REPORTED TO AIMR (ASSOCIATION FOR INVESTMENT RESEARCH
MANAGEMENT) THEY DID NOT INVESTIGATE PROCEEDINGS. MATTER
CLOSED.
$5,000 FINE AND 5 DAY SUSPENSION
##################################################################################
LUMP SUM PAYMENT OF $30,000 PLUS ATTORNEYS FEES
ACCEPTED BY KEMPER AS FULL, COMPLETE AND FINAL SETTLEMENT.
12 MONTH SUSPENSION FROM ASSOCIATION IN A SUPERVISORY CAPACITY, COMMENCING ON OR ABOUT JUNE 09, 2008.
REGISTRATION APPROVED
SEE DESCRIPTION IN RESPONSE TO ITEM 7
##################################################################################
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##################################################################################
RICHARD H BLANK, JR CONSENTS TO THE ASSOCIATIONS
IMPOSITION A CENSURE & MONETARY FINE IN THE AMOUNT OF
$10,000.00. HE FURTHER AGREES TO PARTICIPATE IN A TRAINING
PROGRAM TO BE EXTABLISHED BY STEPHENS INC.
FINE AMOUNT: $10,000.00
SUSPENSION FROM SUPERVISORY DUTIES TO BEGIN AT OPENING OF BUSINESS MONDAY JUNE 16TH AND TO CONCLUDE 30
VIOLATION OF ARS 44/1991 MISREPRESENTATION AND
OMISSIONS OF MATERIAL FACTS; ARS 44/1962 (5) BUSINESS REPUTE &
QUALIFICATIONS; ARIZONA REGISTRATION REVOKED.
PROCEEDING DISMISSED
RESPONDENT VOLUNTARILY WITHDREW HIS REGISTRATION
AS A SALESPERSON IN THE STATE OF ILLINOIS AND THE FORMAL
HEARING WAS DISMISSED ON 5/20/93
FINE & CENSURE IN THE AMOUNT OF $3,000. WAS
IMPOSED ON JOHN HSU.
$5000.00 FINE, J & S.
CENSURE
$20000.00 FINE WAS LEVIED AGAINST JOHN HSU AND PYRAMID FINANCIAL CORPORATION, JOINTLY AND SEVERALLY.
$22,000 IS THE PORTION LEVIED AGAINST JEFFREY S. SIEGEL. THE FULL AMOUNT OF $78,000 WAS PAID MAY 2, 2007.
A CENSURE AND FINE OF $10,000 ($5,000 OF WHICH IS JOINT AND SEVERAL WITH SIEGEL).
* ACCEPTANCE, WAIVER AND CONSENT. A PENALTY OF A
CENSURE AND A MONETARY FINE OF $1000.00 ASSESSED JOINTLY AND
SEVERALLY
SUSPENDED FROM QASSOCIATION WITH ANY NASD MEMBER IN ANY PRINCIPAL OR SUPERVISORY CAPACITY FOR A PERIOD O
FINED - $10,000.
N/A
##################################################################################
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CENSURE; SIX WEEK SUSPENSION (START DATE, 5/28/2004) AND $100,000.00 FINE.
##################################################################################
##################################################################################
ORDERED TO PAY CIVIL PENALTY OF $15,000.00 PROPRIETARY SUSPENSION AND SUPERVISORY BAR FOR SIX MONTHS EACH.
CHECK WAS CASHED BY STATE OF KENTUCKY ON 07/28/2006
J.P. MCGIVNEY, JR. MUST COMPLY WITH THE
REGISTRATION PROVISIONS OF THE MICHIGAN UNIFORM SECURITIES ACT
IN SELLING EXEMPT SECURITIES OR ENGAGING IN EXEMPT
TRANSACTIONS: CEASE AND DESIST FROM VIOLATING THE ACT.
CSNSURE, CEASE NAD DESIST ORDER AND
UNDERSTANDING NOT TO APPLY FOR REGISTRATION IN MICHIGAN FOR
FIVE YEARS.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
CONSENTED TO THE ENTRY OF FINDINGS OF FACTS AND VIOLATIONS BY
RESPONDENTS OF RULE 2110 OF THE ASSOCIATIONS RULES. RECEIVED A
CENSURE & A FINE OF $7500.
J.P. MCGIVACY, JR. AGREED NOT TO BE A CONTROL
PERSON IN ANY SECURITIES COMPANY IN THE STATE OF FLORIDA FOR
TWO (2) YEARS FROM THE DATE OF THE SIGNING OF THE STIMULATION
AND AGREEMENT.
A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS
ACCEPTED AND THE RESPONDENT WAS CENSURED AND FINED. $2,000.
REGISTERED UNCONDITIONALLY IN SOUTH CAROLINA
SPECIAL SUPERVISION
I RECEIVED AN OFFICIAL CENSURE, WAS FINED
$1,000, AND THE TRADES IN QUESTION WERE REVERSED AT MY COST.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, SUITER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENT
CENSURE, FINE AND REQUIREMENT TO FILE ADVERTISING FOR A PERIOD OF ONE YEAR.
10 DAY SUSPENSION AND FINE OF $4199. CENTURED.
RECEIVED 90 DAYS SUSPENSION FROM 12/15/76 TO 3/15/77
* I HAVING WAIVED MY RIGHT TO A HEARING CONSENTED
TO A SUSPENSION OF MY LIFE AND HEALTH LICENSE FOR A PERIOD OF
SIX MONTHS AND A FINE IN THE AMOUNT OF $2,500.00.
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14 DAY SUSPENSION TO START ONCE REGISTERED IN STATE
##################################################################################
A CENSURE AND A MONETARY FINE IN THE AMOUNT OF
$2,500.00
FROM SEPTEMBER 18, 2000 TO OCTOBER 27, 2000 - SUSPENSION
##################################################################################
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CENSURE & J.J. KENNEDY WAS FINED $2,500.00.
A $20,000 FINE WAS IMPOSED JOINTLY AND
SEVERALLY. FINE HAS BEEN FULLY PAID.
MICHAEL DEFILIPPIS, WAS A CLERK FOR TJC LLC EMPLOYED BY SOSNOFF, SHERIDAN, AND SNYDER. HE WAS CENSURED AND J
DISGORGEMENT OF COMMISSIONS EARNED OF $26,715.96 BEING PAID FEBRUARY 2004
A CEASE & DESIST ORDER WAS INITIATED ON 11/1/82
THAT I DIRECTLY OR INDIRECTLY NOT MAKE ANY OFFER OR SALE UNTIL A PERMIT TO SELL ANY
SECURITIES HAVE BEEN ISSUED BY THE COMMISSIONER OF TEXAS UNLESS SUCH ARE EXEMPT.
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I WAS CENSURED, FINED $5,000 AND RESTRICTED FOR
2 YEARS FROM AMEX MEMBERSHIP AND EMPLOYMENT (TILL 10/93).
FINE IS JOINT & SEVERAL VIOLATIONS OF ARTICLE
III, SECTIONS 1 & 21 OF THE RULES OF FAIR PRACTICE; SEC RULE
17A-3(a)(2) & 17a-3(a)(II).
A CENSURE, A MONETARY FINE IN THE AMOUNT OF
$10,000 AND A ONE-WEEK SUSPENSION FROM ASSOCIATION WITH ANY
MEMBER OF THE ASSOCIATION IN ANY CAPACITY.
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PAINEWEBBER PAID A FINE OF $1,500.00 TO THE
PUBLIC SERVICE COMMISSION OF THE DISTRICT OF COLUMBIA TO
RESOLVE THIS MATTER.
I WAS FOUND IN VIOLATION OF ARTICLE 3 SECTION 1
& 9 RULES OF FAIR PRACTICE. WAS CENSORED AND FINED $5000.00. I
MUST ALSO SERVE A WEEKS SUSPENSION. THE DATE OF THIS
SUSPENSION HAS NOT BEEN GIVEN TO ME YET.
SEE ATTACHED.
SEE ATTACHED.
REVOCATION IN MICHIGAN
##################################################################################
LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH A
SEVEN DAY CALENDER SUSPENSION
##################################################################################
CEASE AND DESIST ORDER WAS AN AGREEMENT TO NOT VIOLATE THE STATUTE AGAIN.
FINE OF $2500. WAS PAID IN FULL. CEASE AND DESIST ORDER WAS AN AGREEMENT TO NOT VIOLATE THE STATUTE AGAIN.
SUSPENDED FOR 3 BUSINESS DAYS FROM ASSOCIATING IN AN CAPACITY WITH ANY MEMBER OF THE NASD. THE FINE WAS P
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SETTLED PER STIPULATION & CONSENT AGREEEMENT.
THE APPLICANT WAS FINED AND AGREED NOT TO APPLY FOR
REGISTRATION WITH THE STATE OF FLORIDA FOR A PERIOD OF 5 YEARS.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OF
THE COMPLAINT, MR. TOGNETTI AGREED TO THE TERMS OF THE OFFER OF
SETTLEMENT AND ACCEPTED A CENSURE.
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FINE WAS MAILED EXPRESS MAIL (OVERNITE) ON 11/02/00.
##################################################################################
1) DANIEL J. GREENWOOD WAS CENSURED FOR
AFORESAID VIOLATIONS. 2) ASSESSED A CIVIL PENALTY OF $100. 3)
MADE WRITTEN OFFERS OF RESCISSION TO ALL GEORGIA RESIDENTS TO
WHOM I SOLD SECURITIES PRIOR TO MY REGISTRATION WITH THE
COMMISSIONER.
WITH EXTENUATING CIRCUMSTANCES, I WAS CENSURED
FOR THE SALE OF UNREGISTERED SECURITIES; PAID 1/8 OF
INVESTIGATION COSTS; WILL UNDERGO ANNUAL COMPLIANCE EXAMS FOR 3
YRS. PARTICIPATE IN CONTINUING EDUCATION FOR 3 YRS; AGREE NOT
TO SELL DPP'S FOR 3 YEARS.
APPROVED BY STATE OF FLORIDA AS ASSOCIATE
PERSON.
OFFER OF SETTLEMENT, CENSURED AND FINED IN THE
AMOUNT OF $12,500 AND VOLUNTARILY SUSPENDED FROM ASSOCIATION
WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY FOR TEN
BUSINESS DAYS. ALLEGATION OD RESPONDING UNTRUTHFULLY WAS
DISMISSED, (CAUSE 4).
AWC $2500.00 FINE
CPA LICENSE WAS REVOKED ON MAY 22, 1996.
WE PAID A FINE OF $8,500 - FIRM PAID THE FINE.
WE WERE ALSO CENSURED.
CONSENTED TO CENSURE AND TWO-WEEK BAR.
CONSENT AGREEMENT TO COMPLY WITH THE STATE OF NEW MEXICO SECURITIES ACT.
##################################################################################
A CENSURE AND A FINE OF $7,500, JOINTLY AND SEVERALLY.
MONETARY FINE. AMOUNT $2,500
FINE PAID IN FULL ON 4/1/93, REVOCATION LIFTED.
SEE ATTACHED NASD REPORT FOR COMPLETE DETAILS.
CIVIL ADMINISTRATIVE ACTION WAS TAKEN AGAISNT DAVID HENSUEY IN THE AMOUND OF $500 &
COSTS, 3 DAY TRADING SUSPENSION AND 90 DAY CLOSE SUPERVISION. THIS ACTION WAS TAKEN
AFTER 2 & YEARS OF REVIEW.
AWC ACCEPTED BY NBCC FINE. $500.
##################################################################################
CONSENT TO CENSURE; ONE MONTH SUSPENSION AND
$10,000 FINE.
##################################################################################
NOTICE OF HEARING DATED FEBRUARY 8, 2005 IS DISMISSED. RESPONDENT WILL NOT ACT AS AN ILLINOIS DESIGNATED PRIN
NONE
##################################################################################
GREG CHINN AND THE KANSAS SECURITIES
COMMISSIONER ENTERED A CONSENT ORDER THAT MR. CHINN BE CENSURED
IN ACCORDANCE WITH THE PROVISIONS OF K.S.A. 17-1266A(C) (1).
CHINN ALSO ENTERED INTO A STIPULATION FOR CONSENT ORDER
RELATING TO THE SAME.
CENSURE $2,000 FINE
ACCEPTANCE, WAIVER & CONSENT FINE OF $2,500.00
JOINTLY & SEVERALLY WITH LEXINGTON SECURITIES INC.
ACCEPTANCE, WAIVER & CONSENT FINE OF $6500.00;
JOINT & SEVERALLY WITH MADISON SECURITIES.
##################################################################################
DISGORGEMENT AND PREJUDGMENT INTEREST IN THE AMOUNT OF $1.00 AND A CIVIL MONEY PENALTY IN THE AMOUNT OF
##################################################################################
$15,000.00
##################################################################################
AN EXCHANGE HEARING PANEL IMPOSED A PENALTY OF A CENSURE
AND A $50,000 FINE.
##################################################################################
SETTLED WITH CENSURE, WITHOUT ADMISSION OR
DENIAL OF VIOLATIVE ACTIVITY, BASED UPON CONSENT OT FINDING OF
VIOLATIONS DESCRIBED IN ITEM 7 ABOVE.
REGISTRATION AGREEMENT STIPULATING STRICT
SUPERVISION IN CAPACITY AS AN ASSOCIATED PERSON FROM A PERSON
PHYSICALLY PRESENT IN MY OFFICE AND LAWFULLY REGISTERED WITH
THE DEPARTMENTS.
##################################################################################
THE FIRM & RESPONDENT RECEIVED A FINE OF
$2500.00 & DISGORGEMENT OF COMMISSIONS IN THE AMOUNT OF
$3,747.33 FOR A TOTAL OF $6247.33
AWC - $5000.00
THESE "PRIVATE OFFERINGS" WILL NOT BE OFFERED
FOR SALE OR SOLD IN FLORIDA WITHOUT FIRST; 1) AGENT TO BE
REGISTERED AS A SECURITIES DEALER 2) OFFERING TO BE REGISTERED
AS A SECURITY.
A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WAS
SIGNED AND THE BROKER DEALERSHIP PAID $1000 FINE.
##################################################################################
REGISTRATION GRANTED
##################################################################################
90 DAYS FROM DATE OF ORDER
THE CASE WAS RESOLVED BY AN OFFER OF SETTLEMENT WHEREBY MR. NAUGHTON DID NOT ADMIT OR DENY THAT CBOE RU
A CEASE AND DESIST ORDER WAS ISSUED ON 3/12/95.
PENDING OUR RESCISSION OFFER TO THE CLIENT, A CONSENT ORDER MAY
BE ISSUED.
MR. HENSON WAS CENSURED AND FINED $50,000 IN
CONNECTION WITH THE SETTLEMENT OF THIS MATTER.
PAID $250.00 FINE - DID NOT ADMIT TO ANY WRONGDOING
N/A
CENSURE AND FINE PAID IN THE AMOUNT OF $8,000
##################################################################################
MR. ASHWOOD WAS CENSURED, GIVEN A 30 DAY BAR, 3
YEAR RESTRICTION ON OPTION BUSINESS, AND HAS TO RETAKE AND PASS
THE SERIES 7 EXAM. THE 30 DAY BAR COMMENCES 12/31/91.
I, ALONG WITH FOUR OTHER REPSONDENTS, WAS
CENSURED AND FINED $7,500.00, JOINTLY AND SEVERALLY.
BRADLEY C. LADDEN SETTLED THE MATTER WITHOUT
ADMITTING OR DENYING THE CHARGES. THE BUSINESS CONDUCT
COMMITTEE ISSUED THE DECISION ACCEPTING SETTLEMENT ON DECEMBER
14, 1992. MR. LADDEN WAS FINED $5,000 AND CENSURED.
JOINT AND SEVERAL FINE
WITHOUT ADMITTING OR DENYING THE ALLEGED
VIOLATIONS, EGS AND I ACCEPTED AND CONSENTED TO A JOINT AND
SEVERAL CENSURE AND FINE OF $12,500.
THE FIRM WAS CENSURED AND FINED $30,000. I WAS FINED $5,000. THE FINES WERE PAID ON 9/27/01.
I ENTERED INTO A DISCIPLINARY ORDER WITH THE
TEXAS STATE SECURITIES BOARD AND PAID $250.00 ADMINISTRATIVE
FINE.
COMMISSION ACCEPTED OFFER OF SETTLEMENT IN WHICH
ALLEGATIONS ARE NEITHER ADMITTED NOR DENIED. REQUIRED TO
ENROLL IN AND COMPLETE TWO CONTINUING EDUCATION COURSES RELATED
TO COMPLIANCE AND SUPERVISION OF SECURITIES ACTIVITIES DURING
THE NEXT 24 MONTHS.
$7,500.00 FEE, 30-DAY NON-SOLICITATION OF NEW
ACCOUNTS, ONE YEAR PROBATION
##################################################################################
##################################################################################
##################################################################################
FINE PAID ON SEPTEMBER 15, 2005
FINE OF $100 IN WHICH BALOGH PAID ENTIRELY SHORTLY THEREAFTER
NONE
MR. CURRAN SUBMITTED AN OFFER OF SETTLEMENT
PURSUANT TO WHICH HE WAS CENSURED AND FINED $6,500.
##################################################################################
COMMITTEE FOUND THAT CLARENCE C. STRAHAM, JR.
DID VIOLATE ARTICLE III, SECTIONS 1 & 4 OF THE ASSOCIATION'S
RULES OF FAIR PRACTICE, AS ALLEGED IN COMPLAINT. CLARENCE C.
STRAHAM, JR. CENSURED.
PLUS $500 COURT COST
TOTAL AMOUNT OF FINE BY THE MARYLAND INSURANCE ADMINISTRATION WAS $1000.00. NO PORTION OF THE FINE WAS W
PER THE STATE OF MAINE BUREAU OF INSURANCE CONSENT AGREEMENT, THE TOTAL AMOUNT OF FINE WAS $100.00. NO P
SPECIAL SUPERVISION
ADMINISTRATIVE PENALTY WAS PAID BY CASHIERS CHEK RECEIVED BY THE STATEOF NEW HAMPSHIRE ON JULY 27, 2005.
FINE PAID 10/19/2005- NO PORTION WAS WAIVED.
AFTER 9/24/95 RESPONDENTS COULD APPLY TO HAVE
ORDER REMOVED. SUCH APPLICATION FOR REMOVAL HAS BEEN MADE TO
THE COMMONWEALTH OF MASSACHUSETTS. (THE ORDER WAS REMOVED 6-18-98).
PAID $1000 FINE TO DEPT OF FINANCE-STATE OF
IDAHO
THE AGENT AND INVESTMENT ADVISER REPRESENTATIVE REGISTRATIONS OF KEVIN CALANDRO ARE SUSPENDED FOR TEN (10
##################################################################################
##################################################################################
SIGNED CONSENT AGREEMENT NOT ADMITTING OR
DENYING.
I CONSENTED TO A SANCTION OF A CENSURE, A FINE
OF $10,000 AND A SUSPENSION OF TWO WEEKS. THIS IS IN CONNECTION
WITH MY TERMINATION FROM PAINEWEBBER.
SUSPENDED FOR 6 MONTHS FROM 11-4-2002 TO 05-04-2003
FINED $10,000.00
REQUALIFY BY EXAMINATION IN ALL CAPACITIES
FINED $2000.00 & CEASE AND DESIST ORDER 09/12/2000.
PAYMENT OF NEGOTIATED FINE AMOUNT SUBMITTED WITH SIGNATURE ON THE STIPULATION ON 09/11/2007.
MR. BRINKLEY PAID THE TOTAL $2,089.00 FINE/COST OF INVESTIGATION ON MARCH 17, 2009.
A SUSPENSION FOR A PERIOD OF ONE MONTH FROM
ASSOCIATION IN ANY CAPACITY WITH AN NASD MEMBER; A SUSPENSION
FOR THREE MONTHS FROM ACTION AS A PRINCIPAL WITH AN NASD MEMBER
FIRM AND TO REQUALIFY, BY EXAMINATION, FOR THE SERIES 7 AND 24
REGISTRATIONS.
##################################################################################
I WAS SUSPENDED FROM ACTING AS A GENERAL
SECURITIES PRINCIPAL FOR 15 DAYS. MY REGISTERED REP. STATUS WAS
UNAFFECTED AND NO RESTRICTIONS WERE ISSED.
##################################################################################
$2500 FINE, NO OTHER PENALTY.
JOINT AND SEVERAL FINE OF $2500 AND CENSURE
AGAINST CONSERVATIVE FINANCIAL SERVICES, WILLIAM H SHARP, AND
SUSAN M. EVANS
FINE $3,500.00
##################################################################################
##################################################################################
FINE IN THE AMOUNT OF $15,398.21 PAID BY AGENT ON 9-22-08.
NONE WAIVED.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RANEY CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTR
NASD BOARD OF GOVERNORS ISSUED A LETTER OF
CAUTION, A FINE OF $500, WITH AN AFFIRMATION OF VIOLATION OF
ARTICLE III SECTION 1 BUT DISMISSED THE ALLEGED VIOLATION OF
SECTION 18.
$1000 FINE PAID AND CONSENT ORDER ENTED BY
MARYLAND SECURITIES COMMISSIONER. REGISTRATION REINSTATED.
THE ALLEGATION WAS DISMISSED BY THE STATE OF NEW
HAMPSHIRE (NH POINT OF CONTACT: [THIRD PARTY], 603-271-1463).
##################################################################################
OFFER OF SETTLEMENT WITHOUT ADMITTING OR DENYING
GUILT AND A $2,000.00 FINE.
##################################################################################
APPLICATION FOR TEXAS AGENT WAS GRANTED
EFFECTIVE 2/10/94, SIMULTANEOUS WITH SUSPENSION OF REGISTRATION
FROM 12/23/93 TO 2/20/94.
##################################################################################
SUPENSION FROM 5/15/00 TO 5/24/00.
FINE REQUEST HAS BEEN PAID
CURRENTLY SETUP FOR REQUALIFICATION FOR SERIES 24.
NO RESTRICTIONS. $1000 - ADMINISTRATIVE
ASSESMENTS. $500- FOR COST OF INVESTIGATION
NOTHING
CENSURE AND FINE $1,500.00
ORDER WAS TO DENY THE BROKER/DEALER REGISTRATION OF THE FIRM ONLY.
NO SUSPENSION OF REGISTRATION
31 DAY SUSPENSION; 8500-FINE $22,815
DISGORGEMENT; REQUALIFY WITHIN 90 DAYS
##################################################################################
$5,000.00 WAS PAID ON 09/01/1989. 100% WAS LEVIED AGAINST THE BROKER (JOHN INGRAHAM). NO PORTION OF THE PEN
##################################################################################
A MONETARY FINE OF $15,000, JOINTLY AND SEVERALLY BETWEEN RESPONDENTS, APS FINANCIAL CORPORATION AND MYSE
REGISTRANT WAS CENSURED & FINED ($7,600.00) FOR
VIOLAITON OF ARTICLE III, SECTION 1 OF THE NASDS RULES OF FAIR
PRACTICE FOR MAKING WRITTEN MATERIAL MISREPRESENTATION IN THE
SALE OF SECURITIES.
LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH
CENSURE AND $5,500 FINE.
LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITH
CENSURE AND $5,500 FINE. REGISTRATION WAS REVOKED ON 1/5/94
DUE TO NONPAYMENT OF FINE, BUT REVOCATION WAS RESCINDED ON
6/1/94 AFTER FINE WAS PAID.
$500.00 ADMINISTRATIVE ASSESSMENT.
ACCEPTANCE WAIVER AND CONSENT WITH A $5,000.00
FINE THE FINE WAS JOINT AND SEVERAL NAMING BOTH MYSELF AND THE
FIRM
##################################################################################
CENSURED AND FINED $2,500.00
CENSURED & FINED JOINTLY AND SEVERALLY WITH FIRM
AND TWO OTHER INDIVIDUALS
##################################################################################
CENSURED AND FINED $1500.00 (FINE HAS BEEN PAID
IN FULL) DECISION & ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT.
HEARING PANEL DECISION RENDERED JULY 21, 2006 WHEREIN RESPONDENT IS CENSURED AND FINED $2,500. THE DECISION
SUSPENSION UNTIL I PAY BACK DUES.
CEASE AND DESIST
OMISSION WAS UNINTENTIONAL
WE NEITHER ADMIT NOR DENY THE ALLEGATIONS. WE
WILL NOT UNDERTAKE TO PROMOTE SOLICIT OFFER OR SELL SECURITIES
OF ANY TYPE OR ANY FORM IN VERMONT. SUNDANCE TENDERS A $350.00
PAYMENT IN FULL TO THE STATE OF VERMONT.
$120,000.00 TO CUSTOMER. $60,000 WAS DUE TO ERROR IN THE ACOCUNT.
RESPONDENT NEITHER ADMITTED NOR DENIED
ALLEGATIONS. PAID $500-TO THE TREASURER, STATE OF VERMONT
REVOCATION OF MICHIGAN REGISTRATION
I RESIGNED FROM THE FIRM.
##################################################################################
AWC ACCEPTED BY NASD ON 12/10/2003
AGREED TO RESCIND INVESTMENT ADVISORY CONTRACTS TO VA RESIDENTS (HOWEVER, NO VA RESIDENT HAD EVER SIGNED
REGISTRTION ACCEPTED AFTER REQUESTING FOLLOW-UP
DOCUMENTATION.
##################################################################################
MR. KINNEY WAS CENSURED AND FINED $70,000 IN
CONNECTION WITH THE SETTLEMENT OF THIS MATTER. THE EXCHANGE
ABANDONED A MISAPPROPRIATION CHARGE CONTAINED IN THE CHARGE
MEMORANDUM.
SUSPENSION FROM ASSOCIATING WITH ANY NASD MEMBER, IN ANY CAPACITY, FOR A PERIOD OF 10 DAYS. START DATE OF S
BLACKWELL ENTERED INTO A STIPULATION & CONSENT
AGREEMENT WITH FLORIDA WHICH COMPELS BLACKWELL TO COMPLY WITH
THE CONDITIONS OF THE AGREEMENT
BLACKWELL ENTERED INTO A STIPULATION AND CONSENT
AGREEMENT WITH THE DIVISION WHICH COMPELS BLACKWELL TO COMPLY
WITH THE CONDITIONS OF THE AGREEMENT. THE STIPULATION AND
CONSENT ORDER EXPIRED ON 6/7/93 WITHOUT INCIDENT.
##################################################################################
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
APPLICANT AGREED TO: CENSURE FINE OF $50,000, SUSPENSION WITH
ANY MEMBER IN ANY CAPACITY FOR A PERIOD OF THIRTY (30) CALENDAR
DAYS.
ENTERED INTO A CONSENT ORDER OF CONSURE AND FINE
CENSURED, ADMINISTRATIVE FINE OF $1000.00 PLUS $500.00 FOR
COSTS ASSOCIATED WITH THE INVESTIGATION OF THIS MATTER.
SECURITIES AGENT, THOMAS FROEHLICH, LICENSE WAS SUSPENDED FOR
FAILURE TO PAY $30,00 LICENSING FEE. THE FEE WAS PAID 04/10/95
AND THE SUSPENSION WAS LIFTED.
A CENSURE WAS IMPOSED
CENSURE $10,000 FINE
##################################################################################
##################################################################################
NINETY DAY SUSPENSION. THE IMPOSITION OF THE
SANCTION WAS SUSPENDED PROVIDED THAT FOR A PERIOD OF SIX MONTHS
NO VIOLATION OF THE ARKANSAS SECURITIES ACT OR RULES THEREUNDER
OCCUR.
FIRM AND KELLY WERE JOINTLY AND SEVERALLY
CENSURED AND FINED $20,000
SUSPENDED 1 YEAR PAID FINE OF $250.00 ON 10/30/07
##################################################################################
$1,000 FINE ASSESSED AGAINST THE INDIVIDUAL
REGISTRATION REVOKED DUE TO NON-PAYMENT OF FINES
7, 500 FINE PAID ON MARCH 4, 2004. A SUSPENSION FROM ASSOCIATING WITH ANY NASD MEMBER FIRM IN ANY CAPACITY
THE HEARING PANEL IMPOSED A PENALTY OF A CENSURE AND A FINE OF $20,000.00
CONDITIONAL ORDER OF REGISTRATION FOR TOW YEAR
PERIOD. NO SUPERVISORY OR MANAGERIAL RESPONSIBILITIES.
QUARTERLY REVIEW OF ACCOUNTS AND ANNUAL AFFIDAVITS OF
COMPLIANCE.
THE ORDER OF DENIAL WAS VACATED BY A CONSENT
AGREEMENT WHEREBY THE AGENT AGREED NOT TO REAPPLY FOR
REGISTRATION IN SOUTH CAROLINA FOR A 3 YEAR PERIOD.
FINE AND COSTS WERE ACCESSED JOINTLY AGAINST MR. COST AND ANOTHER INDIVIDUAL, AND PAID BY THE FIRM.
5000 DOLLAR FINE PAID BY R.M. DUNCAN SECURITIES ONLY.
TOTAL AMOUNT LEVIED WAS $20933.63. $19433.63 DISGORGEMENT,$1000 ADMINISTRATIVE ASSESSMENT,$500.00 REIMBU
KAPLAN SHALL BE SUSPENDED FROM ASSOCIATION IN A SUPERVISORY
CAPACITY WITH ANY BROKER DEALER OR INVESTMENT ADVISER FOR A PERIOD OF NINE MONTHS,
BEGINNING 1/1/2007.
KAPLAN SHALL RE-TAKE THE SERIES 24 EXAM WITHIN NINE MONTHS
FROM 1/1/2007
2,500 ADMINISTRATION ASSESSMENT
2,500 INVESTIGATIVE COSTS
15000.00
MR. ACKERMAN IS SUSPENDED FROM ACTING AS FIRMS' DIRECTOR OF COMPLIANCE FOR 1 YEAR FROM 5/2/2005 THROUGH
N/A
##################################################################################
REGISTRANT WAS CENSURED AND FINED FOR VIOLATION
OF ARTICLE III, SECTION 1 OF THE NASD'S RULES OF FAIR PRACTICE
FOR MAKING WRITTEN MATERIAL MISREPRESENTATIONS IN THE SALE OF
SECURITIES.
CEASE AND DESIST ORDER, A CIVIL PENALTY OF
$40,00.00 AND A SUSPENSION OF 10 WEEKS.
(A) A ONE THOUSAND DOLLAR ($1,000) FINE; AND
(B) A CENSURE FOUND IN VIOLATION OF EXCHANGE RULE 4.1 BY SMITH
ORDER VACATED. SEE ATTACHED COPY OF EMERGENCY
ORDER OF SUSPENSION AND ORDER.
FINE OF $7500.00, JOINT AND SEVERAL, AGAINST SRC AND VERMITSKY.
CENSURE
CONSENT ORDER OF CONDITIONAL WITHDRAWAL
##################################################################################
CENSURED, 30-DAY SUSPENSION AND $27,500 FINE.
CONTINUING EDUCATION REQUIREMENTS HAVE BEEN MET AS OF THE DATE OF THIS FILING.
FINE OF $3,750 AND 10-DAY SUSPENSION FROM
TRADING FLOOR.
##################################################################################
SETTLED WITH CENSURE, WITHOUT ADMISSION OR
DENIAL OF VIOLATIVE ACTIVITY, BASED UPON CONSENT TO FINDING OF
VIOLATIONS DESCRIBED IN ITEM 7 ABOVE.
$5000.00;PAYMENT WILL BE IN FULL ONCE INVOICE RECEIVED FROM NASD FINANCE DEPARTMENT.
THE NATIONAL ADJUDICATORY COUNCIL REVERSED THE PREVIOUSLY IMPOSED SUSPENSION AGAINST MR. DEFELICE AND RED
CONTINUING EDUCATION REQUIREMENTS HAVE BEEN MET AS OF THE DATE OF THIS FILING AND THE FINE WAS PAID ON MA
ONE WEEK CENSURE AND BAR.
##################################################################################
##################################################################################
MR. MANGUM WAS CENSURED AND FINED $5,700
CENSURE, FINE OF $5000, REQUIRED TO REQUALIFY
PRINCIPAL EXAMINATION. FINES ARE PAID IN FULL AND MR. KAISER
HAS REQUALIFIED AND PASSED PRINCIPAL EXAMINATION.
##################################################################################
FINE OF OF $1,500 AGAINST REP
RESPONDENT MARK R. LOFT IS CENSURED, FINED IN
THE AMOUNT OF $17,000.00 AND SUSPENDED FOR THREE WEEKS FROM
ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY,
SAID SUSPENSION TO COMMENCE ON A DATE SET BY THE ASSOCIATION.
THE CEASE AND DESIST APPLIES ONLY TO THE RANCHO BLANCO CORPORATION STATE GAS UNIT #2 WELL AND THAT PROJECT
##################################################################################
CENSURE & $3,000 FINE.
INSTALLMENT PAYMENT PLAN WAS ACCEPTED BY NASD REGULATION, INC. ON 08/08/2002
PRINCE WAS FINED $5,000.00 AND CENSURED.
RESPONDENT SALVATORE WAS FOUND TO HAVE VIOLATED
ASSOCIATION CONDUCT RULES 2110 & 3010 IN THAT HE FAILED TO
ADEQUATELY SUPERVISE THE TRANSACTIONS ENTERED BY RESPONDENT
RICHTER. RESPONDENT SALVATORE WAS CENSURED AND FINED $5,000.00.
$10,000 FINE PAID ON 08/20/2003.
##################################################################################
##################################################################################
##################################################################################
LICENSE REVOKED BY THE STATE OF MICHIGAN
THE LETTER OF ACCEPTANCE, WAIVER AND CONSENT
SUBMITTED BY MR. MILLER WAS ACCEPTED. THEREFORE HE IS CENSURED,
FINED $2,500 AND SUSPENDED FROM ASSOCIATION WITH ANY MEMBER OF
THE NASD IN ANY CAPACITY FOR TWO WEEKS.
FINE OF $4900 PAID BY EMPLOYER-HSBC FUTURES-AS
EVIDENCE THAT AT THE TIME OF THE ALLEGED OFFENSE, THEY FELT
THAT I WAS ACTING WITHIN CBOT RULES AND REGS.
WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE E
$100.00 FINE PAID. TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY RESCINDED SUSPENSION UPON SUBMISSION OF FORMS
BY MEANS OF A LETTER OF ACCEPTANCE, WAIVER AND
CONSENT, I WAS CENSURED BY THE NASD AND FINED $2,000.
ISSUE DROPPED BY MICHIGAN. I AM CURRENTLY REGISTERED IN MI WITH NO INCIDENTS.
DISGORGEMENT OF $502.50 PAID 4/16/99
REVOCATION OF REGISTRATION
60 DAY SUSPENSION
$3,000.00 DISGORGEMENT OF COMMISSIONS.
$10,000 FINE 5 DAY SUSPENSION
REGISTRATION WITHDRAWN
SHRYACK CURRENTLY RESPONDING FOR INDIANA
REGISTRATION
JOHN EDWARD SHRYACK WILL BE SUSPENDED FOR FIVE BUSINESS DAYS FROM THE DATE THE ORDER WAS SIGNED.
##################################################################################
CANNOT TRADE IN WISCONSIN WITHOUT PRIOR
NOTIFICATION FROM STATE COMMITTEE
4 WEEKS JULY 2ND THROUGH JULY 29TH.
REGISTRATION REVOKED IN THE STATE OF MICHIGAN.
CONSENT TO THE IMPOSITION BY THE NYSE OF A FINE
OF $500.
##################################################################################
SUMMARY ORDER TO CEASE AND DESIST ISSUED TO RESPONDENT'S CROWN CADENA JOINT VENTURE, CROWN EXPLORATION
REGISTRATION AS AN AGENT IN THE STATE OF CONNECTICUT WAS REVOKED INTIAL. REGISTRATION WAS REINSTATED AFTER
##################################################################################
##################################################################################
THE CIVIL PENALTY OF $30,000 WAS PAID ON MAY 2, 2005.
##################################################################################
ORDER REVOKING ALABAMA INSURANCE LICENSE ISSUED ON 01/05/1996. UPON APPEAL, THE REVOCATION ORDER WAS SET
APPLICANT WAS FINED $200.00 WHICH WAS DUE AND PAYABLE WITHIN 15 DAYS OF THE ORDER DATED 06/16/1999.
APPLICANT'S IOWA INSURANCE LICENSE WAS REVOKED ON 1/10/1997 AND APPEALED. EFFECTIVE 7/28/2001 THE MATTER W
##################################################################################
CENSURE AND FINE OF $2913.00 JOINTLY AND
SEVERALLY WITH FIRM.
PAYMENT OF $10,000 TO THE SECURITIES PROTECTION FUND WAS PAID ON 5/8/01. PAYMENT OF $13,250 TO [CUSTOMER]W
TERMINATION @ THIS TIME FROM MICHIGAN. NO
DISCIPLINARY ACTION TAKEN.
NONE
SECURITIES AMERICA, INC., PREMIER INVESTMENT ADVISORY SERVICES, INC., AND REPRESENTATIVE PATRICIA LARAMORE PA
WAS GIVEN OPTION BY BROKER DEALER TO PURSUE
FURTHER BUT PAID $300 FINE WITHOUT ADMITTING OR DENYING ANY
WRONGDOING TO SETTLE MATTER.
STIS PAID A FINE IN THE AMOUNT OF $2500.00 FOR FULL RESOLUTION OF THE ALLEGATIONS.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
APPLICANT AGREED TO: CENSURE ,FINE OF $30,000, SUSPENSION WITH
ANY MEMBER IN ANY CAPACITY FOR A PERIOD OF THIRTY (30) CALENDAR
DAYS.
$7,500.00 FINE
$7500.00, 100% CHARGED TO BROKER, $500.00 PER MONTH
STARTING 4/1/2005.
$5,000 FINE AND RETAKING OF GENERAL SECURITIES
EXAMINATION WITHIN 90 DAYS OF 4/24/95
FINAL ORDER TO DENY APPLICATION FOR SECURITY SALESMAN LICENSE.
NASDR CENSURE & $7,500 FINE ACCEPTED & CONSENTED
TO THE ENTRY OF FINDINGS BY THE NASDR WITHOUT ADMITTING OR
DENYING THE ALLEGATIONS IN THIS MATTER.
MINNESOTA DEPT OF REVENUE ISSUED A TAX CLEARANCE
NOTICE.
ORDERED TO CEASE AND DESIST FROM ACTING AS AN
AGENT IN OR FROM THE STATE OF NEW JERSEY IN VIOLATION OF THE
NEW JERSEY STATUTE. COMPANY WAS ORDERED TO CEASE AND DESIST,
COMPANY COMPLIED AND NO PENDING INVESTIGATION AS FAR AS I KNOW.
$500 FORFEITURE TO STATE OF WISCONSIN
##################################################################################
MR. RAPPAPORT IS NOT TO SERVE AS WESTPARK CAPITAL'S DESIGNATED PRINCIPAL IN THE STATE OF ILLINOIS FOR THREE YE
##################################################################################
MR. KNUTSON WAS FINED $3,500 BY EDWARD D JONES &
CO. FOR FAILURE TO NOTIFY THE FIRM OF THE CEASE AND DISIST
ORDER.
WITHOUT ADMITTING TO THE ALLEGATIONS THE
APPLICANT, A PAINE WEBBER SPECIALIST AGREED TO A CENSURE AND
FINE OF $2,500 TO THE CSE.
WITHOUT ADMITTING OR DENYING THE FINDINGS, KORNEGAY CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTR
THE NATIONAL ADJUDICATORY COUNCIL REVERSED THE PREVIOUSLY IMPOSED SUSPENSION AGAINST MR. FERRARESE AND R
MR. CORDES DID NOT DISPUTE THE ALLEGATION AND
PAID A $500 FINE TO THE STATE OF FLORIDA
$3000 FINE & CENSURE
ORDER TO VACATE ORDER TO SHOW CAUSE ISSUED DECEMBER 30, 1994 ISSUED TO TRACY COHEN-MCCLUCKIE.
MONETARY FINE OF $5,000.00 ASSESSED JOINTLY AND
SEVERALLY BETWEEN FIRM, MR. NEEL, AND [OTHER FIRM EMPLOYEE].
STOP THE AD IN THE PAPER AND CASE WAS DROPPED
WITH NO COST, FINES
THE COMMITTEE DECIDED THAT RESPONDENT CORNELL BE
CENSURED, FINED $2,500 AND ASSESSED COSTS OF $865.75, WHICH
AMOUNT OF $3,365.75 WAS PAID ON 8/9/94, INVOICE #94-8A-517.
##################################################################################
##################################################################################
I WAS INSTRUCTED TO PAY A FINE OF $500. THIS WAS PAID ON 3/29/06
##################################################################################
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO TH
MR. BUTTARAZZI WAS CENSURED AND MR. BUTTARAZZI
AND A.G. EDWARDS & SONS, INC WERE FINED $5,000 TOGETHER FOR THE
VIOLATION OF PSE RULE 4.6(a).
LETTER OF ACCEPTANCE, WAIVER AND CONSENT HAS
BEEN ACCEPTED BY THE NASD AND A FINE OF $20,000 WAS IMPOSED
JOINTLY AND SEVERALLY.
A JOINT AND SEVERAL FINE OF $5,000 WAS IMPOSED AGAINST BEREAN CAPITAL AND C. BERBERICH, THE FINANCIAL AND OPE
##################################################################################
WITHOUT ADMITTING OR DENYING THE ALLEGATION, MR.
LANDRY ACCEPTED AND CONSENTED TO A CENSURE, A MONETARY FINE IN
THE AMOUNT OF $5,120.00 AND A ONE WEEK SUSPENSION FROM
ASSOCIATION WITH ANY MEMBER OF THE NASD.
##################################################################################
THE TRAINING IS REQUIRED TO BE COMPLETED WITHIN SIX MONTHS OF ISSUANCE OF THIS AWC.
THE FIRM HAS AGREED TO PAY THE ENTIRE FINE. THE FIRM HAS ENTERED INTO A PAYMENT PLAN.
$500.00 FINE WAS LEVIED AGAINST MR. ISAAC AND PAID IN FULL ON JUNE 13, 2007. NO PORTION OF THE FINE WAS WAIVED
AFTER A DEPOSITION IN THE OSEC OFFICE IN
OKLAHOMA CITY, OK, I WAS TOLD TO STOP SELLING STOCK IN THIS
MANNER. THERE WAS NO FINE OR PENALTIES. THE ORDER WAS IN
WRITING AND CALLED "SUMMARY ORDER TO CEASE AND DESIST".
##################################################################################
I RECEIVED A $5000.00 FINE AND A 6 WEEK
SUSPENSION.
CENSURE AND $2,500.00 FINE
LINSICOMBE IS CENSURED FOR HER UNLICENSED SALES
DENIAL OF REGISTRATION
$3500.00 WAS THE TOTAL MONETARY FINE TO BE JOINTLY AND SEVERALLY, WHICH THE FIRM PAID IN FULL ON 12/19/2003.
$20,000 FINE ASSESSED TO BCR HOLDING CORP.;
#10,000 FINE ASSESSED TO DANIEL L. RITZ, JR.; 10 DAY SUSPENSION
RESPONDENT WAS GIVEN A ONE YEAR PERIOD OF
SUPERVISION ALONG WITH THE AMOUNT OF RESTITUTION MENTIONED
ABOVE IN RESPONSE #7.
RESTITUTION OF $10,000; CIVIL PENALTY OF $3,000;
30 DAY SUSPENSION; 1 YEAR OF RESTRICTIONS.
##################################################################################
SUSPENDED FROM ACTING IN A PRINCIPAL CAPACITY FOR 55 (FIFTY-FIVE) DAYS AND FINED $5000. SUSPENSION EFFECTIVE O
GEORGE MARSHALL SMITH'S LICENSE AS A LIFE INCLUDING VARIABLE ANNUITY AGENT, LIFE AGENT AND HEALTH AGENT, AND
CENSURE, FINE/SUSPENSION AND REQUALIFICATION FOR
SERIES 7 (FINE $5,000)
CENSORED & FINED $5,000.00.
SIGNED FLORIDA STIPULATION & CONSENT AGREEMENT
MICHAEL GRUBB AGREED TO PAY A CIVIL PENALTY OF $2,500.00.
MR. KIRONT WITHDREW HIS REGISTRATION WITH
INDIANA VIA U5
##################################################################################
TSSB ORDER AND UNDERTAKING ATTACHED
LETTER OF WAIVER AND ACCEPTANCE AND CONSENT
SIGNED. GLOMB NEITHER ADMITS NOR DENIES COMPLAINT - RESULTS
GLOMB AGREED TO CENSURE AND FINE OF $3,500.00, FURTHERMORE HE
WAS REQUIRED TO REQUALIFY BY EXAMINATION AS A GENERAL
SECURITIES REPRESENTATIVE.
NO OTHER SANCTIONS
AS FINOP, I ALLOWED THE FIRM'S NET CAPITAL TO FALL BELOW MINIMUMS DUE TO AN ACCOUNTING ERROR ON MY PART.
THE FINE WAS JOINTLY AND SEVERELY FOR $2500.00 AND WAS PAID 06/03/2003
VIOLATION OF ARS 44/1991 MISREPRESENTATION AND
OMMISSIONS OF MATERIAL FACTS ARS 44/1962 (5) QUALIFICATIONS ARS
44/1948. FILING UPDATED INFORMATION ON A TIMELY BASIS. ASSESSED
ADMINISTRATIVE PENALTY OF $250 AND ARIZONA REGISTRATION
SUSPENDED FOR ONE YEAR.
CENSURED AND FINED $7,500.
##################################################################################
CONSENT TO CENSORE & SUSPENSION IN THE
CAPACITIES FOR A FIXED DURATION OF 60 DAYS 8/12/93 - 5/10/93
SUSPENSION FIXED - DURATION 3/8/93 - 5/8/93
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, CONSENTED TO $15000 FINE AND 60 DAYS SUPERVISORY SUSPENSIO
A LETTER OF ADMISSION, WAIVER AND CONSENT
SUBMITTED BY MR. BRERETON WAS ACCEPTED; THEREFORE HE WAS
CENSURED AND FINED $500.00.
THE SECURITIES COMMISSIONER ENTERED A
DISCIPLINARY ORDER AGAINST ME. PURSUANT TO SECTIONS 14.A (6),
14.A(7) AND 23-1 OF THE TEXAS SECURITIES ACT AN ORDER OF
REPRIMAND AND FINE OF $250.00 WAS ISSUED.
TIMOTHY WILLIAM HARRIS IS HEREBY REPRIMANDED AND UNDERTAKES AND AGREES TO ACCURATELY UPDATE HIS FORM U-
##################################################################################
FINE OF $2500.00 AND AGREES TO A RESTRICTED LICENSE
PURSUANT TO A PRE-TRIAL INTERVENTION PROGRAM DEFERRED PROSECUTION AGREEMENT, REPRESENTATIVE SHALL NOT T
MIMCO WAS ORDERED TO PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $70,000. THE PENALTY WAS PAID IN FULL ON JA
WITHOUT ADMITTING OR DENYING THE FINDINGS, I CONSENTED TO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDI
CONSENT OF STIPULATION
FINE IN THE AMOUNT OF 1000.00 AND THE PENALTY OF CENSURE.
##################################################################################
CENSURED AND FINE OF $1,000 JOINTLY AND
SEVERALLY AGAINST MYSELF AND BANC ONE WISCONSIN INVESTMENT
SERVICES CORPORATION
##################################################################################
RESPONDENT WILL WITHDRAW HIS REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS AND WILL NOT REAPPLY FO
10 DAY SUSPENSION.
SUSPENSION OF LICENSE IN STATE WAS DUE TO PAPERWORK FILING REQUIREMENTS. PRINCIPAL AND BROKER DEALER LICEN
$250.00 FINE ONLY
GOLDSTON'S FINE WAS PAID IN FULL BY MARCH 7, 2002 IN COMPLIANCE WITH THE ORDER.
SIGNED A LETTER OF ACCEPTANCE, WAIVER AND
CONSENT AND AGREED TO A CENSURE AND MONETARY FINE IN THE AMOUNT
OF $10,000 TO BE ASSESSED JOINTLY AND SEVERALLY AGAINST THE
FIRM, MYSELF, AND THREE OTHER BROKERS.
REGISTRATION FEE PAID LICENSE RESUMED.
AWC CENSURE AND $2500.00 FINE.
##################################################################################
##################################################################################
AS STATED IN #7, PAYMENT OF 134.00 FINE &
SUSPENDED LICENSE FOR 14 DAYS.
##################################################################################
SEVEN DAY STATE SECURITIES LICENSE SUSPENSION.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
BARBARA MACKEVICH CONSENTED TO FINDINGS OF RULE VIOLATIONS AND
THE IMPOSITION OF A PENALTY OF A CENSURE, A $2,500 FINE AND A
REQUIREMENT THAT SHE RETAKE SERIES 7 EXAMINATION.
CENSURED BY THE CBOE
##################################################################################
REVOKED FOR NONPAYMENT OF FINE AND COSTS OF $1850.00 IN CONNECTION WITH TEX-401; FC#9490.
##################################################################################
CENSURED AND SUSPENDED FROM MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS, AND FROM EMPLOYM
CENSURE AND FINE IN THE AMOUNT OF $7,500.00
ASSESSED JOINTLY AND SEVERLY BETWEEN MARK MITCHELL, STEVEN
BLOCKMAN AND KENNETH STEINBERG.
THE CORPORATION PAID THE $2,000 FINE IN FULL AFTER RECEIVING LETTER FROM THE NASD DATED OCTOBER 6, 1983.
MR. MOSHIER PAID A CIVIL PENALTY OF $6,000.00 TO THE SECURITIES DEPARTMENT OF ND ON NOVEMBER 6, 2006 BY PERSO
CENSURED, FINE OF $1,000, AND ASSESSED COST OF $5
90 DAY SUSPENSION ENDING 7/15/83; IT SHOULD BE
NOTED THAT THIS ACTION WAS TAKEN BY THE STATE OF TENNESSEE ON
THE SAME EVENT REVIEWED BY THE NASD AND REPORTED ON AN
ACCOMPANYING DRP.
ORDER OF ASSESSMENT
PETER JOHN KIRSCH'S REGISTRATION WAS REVOKED DUE TO THE FAILURE TO PAY THE BALANCE OF THE $30 1989 RENEWAL
##################################################################################
$1,000 CIVIL FORFEITURE
SEE RESPONSE BELOW IN ITEM 13
A CENSURE AND MONETARY FINE OF $7,500.00 WAS PAID J & S 8/10/89.
THE SECURITIES COMMISSIONER ENTERED A CONSENT
ORDER PURSUANT TO 14.A(6) OF THE SECURITIES ACT. TEXAS
REGISTRATION WAS GRANTED AND AN ORDER OF REPRIMAND WAS ISSUED.
##################################################################################
##################################################################################
1. CENSURED 2. FINED $5,000 3. SUSPENDED FROM
ASSOCIATING WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY
FOR TEN (10) BUSINESS DAYS. 4. PROHIBITED FROM SELLING OPTIONS
FOR FIVE (5) YEARS.
MR. WATSON WAS FINED $250 AND CENSURED.
90-DAY SUSPENSION, BEGINNING 1/31/04, ENDING 4/30/04
MR. FAULKNER VOLUNTARILY WITHDREW HIS ILLINOIS REGISTRATION AND WILL NOT REAPPLY FOR TWO YEARS. THE FORMA
THE COMMISSIONER OF INSURANCE OF THE STATE OF KANSAS ADMINISTERED A $100.00 PENALTY ON MR. TENPENNY FOR N
BY THE CONSENT ORDER, MR. TENPENNY NEITHER
ADMITTED NOR DENIED THE ALLEGATIONS AND WAS FINED $600.00
##################################################################################
RESPONDENT WITHDREW HIS SALESPERSON REGISTRATION IN THE STATE OF ILLINOIS AND WILL NOT REAPPLY FOR A PERIOD
##################################################################################
30 DAY SUSPENSION(SUSPENSION EFFECTIVE MONDAY AUGUST 6, 2001 TO CLOSE OF BUSINESS
SEPTEMBER 4, 2001)
FINE OF $31,358 WHICH INCLUDES DISGORGEMENT OF COMMISSIONS RECEIVED IN THE AMOUNT
OF $21,358.
LETTER OF ADMONISHMENT/CAUTION ISSUED NO FORMAL
ACTION TAKEN.
$250.00 FINE AND CESURED.
MR. FREEMAN WAS SUSPENDED FROM TRANSACTING
BUSINESS AS A REGISTERED SECURITIES AGENT FROM DECEMBER 9, 1985
TO JANUARY 1, 1986.
PENALTIES INCLUDE A CENSURE AND $10,000 FINE.
I WAS ISSUED A LETTER FROM THE NASD TELLING ME NO
TO DO IT AGAIN.
REGISTRATION IN STATE OF MISSOURI DENIED BUT THEN
REINSTATED ON 1/19/84
THE NYSE ADMONISHED ME FOR MY CONDUCT AND
CAUTIONED ME THAT ANY FURTURE MISCONDUCT MAY LEAD TO FORMAL
DISCIPLINARY ACTION
I WAS CENSURED, 45 DAY SUSPENSION FROM A
SUPERVISORY POSITION, A $5,000 FINE, & A REQUIREMENT TO TAKE &
PASS THE BRANCH MANAGER EXAM WITHIN SIX MONTHS.
CIVIL MONEY PENALTY OF $2,250.00 WAS ASSESSED.
PHILIP BROOKS WAS CENSURED, SUSPENDED FROM
ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION IN ANY CAPACITY
FOR A PERIOD OF THIRTY DAYS AND FINED $15,000.00.
A LETTER OF ACCEPTANCE, WAIVER AND CONSENT HAS
BEEN ACCEPTED WHEREBY MR. ENNIS RECEIVED A CENSURE, A
SUSPENSION FROM ASSOCIATION WITH ANY NASD MEMBER IN ANY
CAPACITY FOR TEN (10) DAYS, AND A FINE OF $10,000.00.
RESPONDENT HAS CONSENTED TO WITHDRAW HIS SALESPERSON LICENSE IN ILLINOIS AND WILL NOT RE-APPLY FOR REGISTR
DECISION AND ORDER OF ACCEPTANCE OF OFFER OF
SETTLEMENT. MR. NEUMAN WAS CENSURED AND FINED $5,000.00.
MR. NEUMAN DID NOT CONTEST AN ORDER OF CENSURE
BASED ON THE STATE'S ALLEGATIONS. THERE WERE NO FINDINGS OF
RULE VIOLATIONS BY MR. NEUMAN.
I SIGNED AN AWC (ATTACHED) NEITHER ADMITTING NOR
DENYING THE ALLEGATION OF "FAILURE TO SUPERVISE". I WAS
CENSORED AND AGREED TO PAY A FINE OF $7,500. NO SUSPENSION OR
RESTRICTIONS.
CENSURE AND FINE OF $3000.
CENSURE AND FINE OF $3000.
CENSURE AND A FINE OF $5,000
APPLICATION FOR REGISTRATION DENIED.
##################################################################################
Not Provided
ACCEPTANCE OF FINDINGS BY NASD NASD CONSENT TO A
FINE IN THE AMOUNT OF $1,000.00, WHICH FINE WAS PAID BY MYSELF
AND THE FINANCIAL AND OPERATIONS PRINCIPAL, GARY M. BYLSMA.
GOULDING WAS SUSPENDED FROM 2/28/2005 THROUGH 4/4/2005.
##################################################################################
##################################################################################
TO PAY $500 TO THE INVESTORS EDUCATION FUND AS REIMBURSMENT TO COVER THE COST OF INVESTIGATION AND WILL N
MUST RETAKE SERIES 27 EXAM WITHIN 90 DAYS.
THE FIRM WAS FINED AND CENSURED FOR $4000, ALONG
WITH WILLIAM R. HUNT, JR. THE FIRM AND WILLIAM R. HUNT, JR.
HAVE FILED AN APPEAL.
A CENSURE, A FINE OF $17,500.00 AGAINST NETWORK
1 AND MYSELF, PAID JOINTLY AND SEVERALLY, A 21-DAY SUSPENSION
FROM ASSOCIATION WITH ANY MEMBER IN ANY CAPACITY,
REQUALIFICATION BY EXAMINATION AS A REGISTERED PRINCIPAL.
CENSURED AND FINED $2500.00
FINED $25,000.00 TO BE PAID INCREMENTS.
##################################################################################
##################################################################################
A HEARING WAS SCHEDULED AND CARL SETTE, E.F.
HUTTON & CO., EACH CONSENT TO A CENSURE AND A JOINT AND SEVERAL
FINE OF $15,000. MR. SETTE ALSO WAS ORDERED TO RETAKE SERIES 4
EXAM. HE TOOK EXAM 5-29-90 AND PASSED WITH A SCORE OF 82%
$2500 FINE PAID MARCH 1, 2004
DENIED STATE OF MARYLAND REGISTRATION
SUSPENSION OF SECURITIES LICENSE FOR ONE YEAR.
FINE OF $1,000 PLUS PROCEEDING COSTS OF $315.20
FINED AND SUSPENDED FOR TEN DAYS
FINED $5,000
FINE OF $1,000.00 TO PENROD & CO AND DONALD RAY
PENROD, JOINT FINE
FINE OF $5,000.00 JOINTLY TO PENROD & CO AND DON
PENROD
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, WILLIAMS CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE E
FINE, $25,000 IMPOSED JOINTLY AND SEVERALLY AGAINST WFG AND WILLIAMS
SIGNED "AWC" CONSENTING TO NASD'S IMPOSING A
CENSURE AND $5,000 FINE. CASE C05930070
SATISFACTORY PROOF OF PAYMENT OF THE RESTITUTION SHALL BE PROVIDED TO THE NASD STAFF
NO LATER THAN 120 DAYS AFTER ACCEPTANCE OF THIS AWC.
SANCTIONS IMPOSED SHALL BE EFFECTIVE ON A DATE SET BY NASD STAFF
PAID FOR THE COST OF THE INVESTIGATION IN THE AMOUNT OF $1,000 ON 09/08/2006
ON NOVEMBER 1, 1982 THE MISSOURI DIVISION OF
SECURITIES DENIED MR. ROSS' APPLICATION AS AN AGENT WITH A
RIGHT TO REAPPLY IN TWO DAYS. MR. ROSS WAS SUBSEQUENTLY
REGISTERED AS AN AGENT IN THE STATE OF MISSOURI.
CONSENT AGREEMENT PROVIDED THAT I MAKE NO
FURTHER CONTACTS WITHOUT FIRST COMPLYING WITH MINNESOTA
REGISTRATION REQUIREMENTS.
MR. OAKLEY WAS CENSURED, FINED $16,000 AND
ASSESSED COSTS OF $930.27.
NO PENALTIES WERE LEVIED.
CENSURED AND FINED $5,000 BY AMEX ON 5/20/86.
EXCHANGE ALSO STIPULATED THAT WRIGHT RE-TAKE THE SERIES 7
EXAMINATION IF AFFILIATED WITH AN EXCHANGE MEMBER IN THE
FUTURE.
AGREEMENT TO STIPULATION FOR CONSENT ORDER.
CONSENT ORDER THAT RESPONDENT WILLIAM O WRIGHT BE SUSPENDED FOR A PERIOD OF 15 DAYS
RETROACTIVE BEFORE THE DATE OF THIS ORDER FROM 3/15/96 TO 4/1/96 AND THAT HE BE FINED
$500.
##################################################################################
ADMINISTRATIVE FINE OF $2000.00
A CENSURE AND A MONETARY FINE IN THE AMOUNT OF
$4,600.00 (PAID ON 10/14/93).
##################################################################################
##################################################################################
A FINE OF $1000 WAS PAID
A $250 FINE WAS PAID.
SUSPENSION FOR 5 DAYS FROM DECEMBER24 THROUGH DECEMBER 31ST, 1979. STATE OF WISCONSIN SECURITIES LICENSE
$7,500 ADMINISTRATIVE FINE
ACCEPTANCE OF OFFER OF SETTLEMENT INCLUDING
CENSURE OF RESPONDENT MUNHOLLON & FINE OF $7,000.00
##################################################################################
JAMES L. VINING WAS CENSURED.
A CENSURE AND FINE OF $5,463.40 WAS ASSESSED
CENSURED AND FINED JOINTLY AND SEVERALLY IN THE AMOUNT OF $10,000.
NONE
SETTLED WITH CENSURE, WITHOUT ADMISSION OR DENIAL
OF VIOLATIVE ACTIVITY, BASED UPON CONSENT TO FINDING OF
VIOLATIONS DESCRIBED IN ITEM 7 ABOVE.
WITHOUT ADMITTING OR DENYING THE ALLEGED
VIOLATION. I ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER, AND
CONSENT WITH NASDR AND CONSENTED TO A CENSURE AND $5,000 FINE.
PAID A $2000 FINE AND AGREED TO BECOME A REGISTERED INVESTMENT ADVISOR.
ORDER OF CENSURE
STATE OF IOWA CENSURED ROBERT W. CARLEY. CARLEY DID NOT
ADMIT TO ANY ALLEGATIONS OF WRONG DOING AND HE PAID ALL FINES IN FULL RATHER THAN
PAYING COSTLY COURT EXPENSES.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, RESPONDENT CONSENTED TO THE DESCRIBED SANCTION AND TO TH
WITHOUT ADMITTING OR DENYING THE FINDINGS, WELLER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY
5 DAY SUSPENSION
##################################################################################
THE MONETARY FINE IN THE AMOUNT OF $1500.00 WAS IMPOSED JOINTLY AND SEVERALLY AGAINST DUNCAN-WILLIAMS,IN
##################################################################################
$5,000 FINE JOINTLY AND SEVERALLY WITH MASTERS
FINANCIAL GROUP INC. WOODY R ROSE, JOSEPH A POWELL AND DONALD J
KELLY
NOT PROVIDED
NONE
CONSENTED TO PAYMENT OF $15,000.00 FINE OVER FIVE YEARS AND PERMANENT INJUNCTION
PRIME CAPITAL SIGNED A LETTER OF ACCEPTANCE,
WAIVER, AND CONSENT (AWC) WHERE IN IT AGREED TO A FINE OF
$20,000, JOINTLY AND SEVERALLY AND TO INSTITUTE CORRECTIVE
ACTION.
THE COMPLAINT APPLIES TO THE PERIOD ENDING APRIL 28, 1985 AND STATES THAT MICHAEL
LEVINSON AND CO. CONDUCTED A SECURITIES BUSINESS WHILE FAILING TO COMPLY WITH THE
SEC NET CAPITAL RULE.
$5500.00 FINE PAID BY THE FIRM (SMITH BARNEY)
SUSPENSION UNTIL CONTINUING EDUCATION
REQUIREMENT IS MET-NOT ALLOWED TO UTILIZE CPA DESIGNATION
THE PRINCIPAL PAID THE FINE FOR THOSE CITED - THE FINE ALLOCATED TO ME WAS $4200.00 AND PAID BY WORTHERN (THE
##################################################################################
1 MONTH SUSPENSION SERVED JULY-AUG 1995.
$10,000 FINE PAID AUG 1995.
N/A.
MONETARY FINE IN THE AMOUNT OF $2,500.00 AGAINST JONATHAN DALE STEIN.
STEIN IS HEREBY SUSPENDED FROM ASSOCIATION WITH ANY BROKER OR DEALER IN ANY SUPERVISORY OR PROPRIETARY CAP
SUBMISSION OF LETTER OF ACCEPTANCE, WAIVER AND
CONSENT AND FINE OF $5,375.00
NA
A FINE OF $5,000 WAS IMPOSED AGAINST TEXAS SECURITIES, INC. AND WAS PAID IN FULL ON
9/6/84. AS A REGISTERED GENERAL SECURITIES PRINCIPAL, JIM GORDON RHODES
CO-SIGNED THE "LETTER OF ADMISSION, WAIVER, AND CONSENT"
TEX-375-AWC DATED MAY 23, 1984.
##################################################################################
CONSENT ORDER OF WITHDRAWL FOR TWO (2) YEARS. ANY QUESTIONS CALL CHERYL WEISS@312-
793-3324.
FINED $1,000.00 FOR ADMINISTRATIVE COSTS, WITHDRAWAL OF REGISTRATION RENEWAL FOR
PERIOD OF TWO YEARS AT WHICH TIME I CAN REAPPLY.
ORDER TO CEASE AND DESIST FORM ENGAGING IN THE ACTIVITIES DESCRIBED IN THE FINDINGS OF FACT AND CONCLUSION O
FINAL ORDER - ONE YEAR LICENSE PROBATIONARY STATUS PLACED ON MY PRODUCER LICENSE AND REQUIRED QUARTERLY R
CEASE AND DESIST FROM VIOLATION S. INS 6.60 AND S. INS 6.61 WIS ADMIN CODE
PROVIDE EACH OHIO INSURER WITH WHICH I WAS APPOINTED AND THE DEPARTMENT OF EACH STATE IN WHICH I WAS LICE
##################################################################################
$500 INVESTIGATIVE FEE PAID BY FIRST NATIONAL CAPITAL - THE SPONSORING COMPANY
##################################################################################
OFFER OF SETTLEMENT WAS ACCEPTED WHEREIN I WAS
CENSURED AND FINED $1,000 AND ASSESSED COSTS OF $50.
FINES WERE PAID AND REVOCATION WAS RESCINDED
PURSUANT TO SECTION 21C OF THE EXCHANGE ACT HAS
BEEN ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY
VIOLATION & COMMITTING OR CAUSING ANY FUTURE VIOLATION OF
SECTION 71(A) OF THE EXCHANGE ACT & RULE 17A-3.
$5,000.00 FINE, 5 DAY SUSPENSION OF PRINCIPAL
CAPACITY
##################################################################################
RESOLVED WITH NO DISCIPLINARY ACTION
REGISTRATION GRANTED
##################################################################################
THE KANSAS DEPARTMENT OF INSURANCE IMPOSED A
$100.00 ADMINISTRATIVE FINE.
STIPULATION OF FACTS AND CONSENT TO PENALTY
WHEREBY MR. DOYLE IS CENSURED, FINED $5,000 AND SUSPENDED FROM
EMPLOYEMNT/ASSOCIATION FOR A PERIOD OF TWO MONTHS. THE
SUSPENSION WILL BEGIN 7/1/1998.
SEE ABOVE
LICENSE WAS REVOKED FOR ONE WEK AND THEN
IMMEDIATELY REINSTATED.
REPRIMAND
E.R. HUTTON & CO. INC. FINED $10,000.
CONSENTED TO AN ORDER PROHIBITING HIM FROM OFFERING FOR SALE
OF SELLING ANY SECURITIES IN THE STATE IN VIOLATION OF THE
ILLIONIS SECURITIES ACT, ILLINOIS SECURITIES LAW OF 1953,
ILLINOIS REV. STATUES.
PRIVATE CENSURE & FINED $500.
V.J. MCGUINNESS CO. AND MR. SHEPHERDSON WERE
CENSURED AND FINED JOINTLY AND SEVERALLY IN THE AMOUNT OF
$2,500.00.
SEE ATTACHED
##################################################################################
ENTERED INTO A CONSENT ORDER OF CENSURE AND
FINE. CENSURED, ADMINISTRATIVE FINE OF $1000.00 PLUS $500.00
FOR COSTS ASSOCIATED WITH THE INVESTIGATION OF THIS MATTER.
$70,000, NONE LEVIED AGAINST ME. PENALTY WAS WAIVED.
$3,500.00 FINE, J&S; CENSURE
FIC AND COLLINS JOINTLY PAID FINE
WITHOUT ADMITTING OR DENYING THE EVENTS UPON WHICH THE DBCC'S FINDINGS WERE BASED,
MR. PASCUZZI ACCEPTED A
CENSURE AND FINE OF $2,500.
MR. TROESTER AGREED TO PAY THE STATE $250.00
STIPULATION TO SURRENDER INSURANCE PRODUCER LICENSE FOR REVOCATION. ORDER # 0-02-161
ADMINISTRATIVE PENALTY OF $899.00. COMMISSIONS
INVOLVED IN TRANSACTION.
MY ADDITIONAL LINES OF INSURANCE WERE DENIED FOR 31 DAYS AND THE NEW LICNESE WAS ISSUED TO ME WITHOUT FUR
NOTICE OF ACCEPTANCE OF ACCEPTANCE, WAIVER AND
CONSENT CENSURE OF NASD OF APPLICANT JOINT AND SEVERAL FINE OF
$1,000 AGAINST ASKAR AND WITTER
WENDEL WAS SUSPENDED FOR SIX (6) MONTHS, FROM MAY
15, 1984 TO NOVEMBER 15, 1984 BY THE STATE OF MINNESOTA,
COMMISSONER OF COMMERCE PURSUANT TO A CONSENT ORDER.
NO CHARGES, NO PENALTIES, NO FINE, NO SUSPENSION
OF SECURITY LICENSE. I SIGNED A STIPULATION AND CONSENT ORDER
RESTRAINING ME FROM ACTING AS A R.I.A. UNTIL REGISTERED. IN
JANUARY 1985 I WAS APPROVED AS A RIA
ODER OF PROHIBITION
##################################################################################
##################################################################################
##################################################################################
##################################################################################
COMPLIED WITH AWC BY 10/31/95 AND FINE PAID.
##################################################################################
##################################################################################
$1000 FINE (TO CORPORATION, SECURICORP, LINDA G.
MAIER, REGISTERED PRINCIPAL AND J. THOMAS UHLER, REGISTERED
PRINCIPAL).
$500.00 FINE BY ARK STATE SEC
##################################################################################
180 DAYS SUSPENSION IN THE STATE OF TENNESSEE
30 DAYS SUSPENSION NASD $2,500 FINE
THE CBOE HAS ACCEPTED THE OFFER OF SETTLEMENT BY
CHARLES M. FRANK AND HAS FINED MR. FRANK $7,500 AND CENSURED
HIM FOR VIOLATIONS OF EXCHANGE RULES 4.1 AND 9.9.
CENSURE AND JOINT AND SEVERAL FINE OF $5,000
AGAINST FIRM AND JACOBSMEYER.
THE HEARING PANEL ACCEPTED A STIPULATION OF
FACTS AND CONSENT TO PENALTY ENTERED INTO BY MR. DAVIS AND THE
NYSE'S DIVISION OF ENFORCEMENT. THE HEARING PANEL IMPOSED THE
PENALTY CONSENTED TO OF A CENSURE.
##################################################################################
NOT PROVIDED
ENTERED INTO THE CONSENT ORDER WITHOUT ADMITTING
OR DENYING LIABILITY. LICENSE IN NORTH CAROLINA WAS SUSPENDED
FOR THREE WEEKS IN MARCH 1983.
MR. SOSNOFF PAID $2500 OF THE $5000 FINE PLUS A DISGORGEMENT OF $18,402.00.
MR. SOSNOFF PAID $1,666 OF THE $5,000 FINE
CENSURE; $ 110,000.00 FINE; A TEN YEAR
SUSPENSION FROM EMPLOYMENT WITH ANY EXCHANGE MEMBER OR MEMBER
ORGANIZATION IN A SUPERVISORY CAPACITY, WITH THE RIGHT TO
REAPPLY TO THE EXCHANGE TO BECOME RE-EMPLOYED IN SUCH CAPACITY.
$5,000.00 FINE & 2 WEEKS SUSPENSION
NONE
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
PURSUANT TO AN OFFER OF SETTLEMENT, I AGREED TO A CENSURE AND
FINE OF $5,000.
MR. UTTER WAS CENSURED AND FINED $7,500.00
1) CENSURED 2) FINE $20,000 3) SUSPENDED FOR ONE
YEAR FROM ACTING IN ANY SUPERVISORY CAPACITY WITH ANY EXCHANGE
MEMBER OR MEMBER ORGANIZTION COMMENCING SEPT 11, 1992.
THE MUNICIPAL PRINCIPAL, VAUGHN, AND APS FINANCIAL HAVE OFFERED A SETTLEMENT WHICH WAS ACCEPTED BY THE NA
##################################################################################
CENSURED, FINED $5,000, SUSPENDED FOR ONE YEAR
FROM ASSOCIATION WITH ANY MEMBER OF THE ASSOCIATION IN ANY
PRINCIPAL CAPACITY. SUSPENDED FOR 1 WEEK FROM ASSOCIATION WITH
ANY MEMBER OF THE ASSOCIATION.
* REGISTRANT WAS BARRED FROM ACTING IN THE SOLE
SUPERVISORY CAPACITY OVER ANY EMPLOYEE OF ANY BROKER-DEALER IN
ARKANSAS FOR A PERIOD OF TWO YEARS.
REGISTRANT WAS CENSURED AND FINED $2,500.00
CENSURED, FINED $7,500.00 AND ORDERED TO
REQUALIFY BY PASSING THE SERIES 7 EXAMINATION WITHIN 60 DAYS
$2,500 FINE WAS PAID
CENSURE - SIGNED ACCEPTANCE CONSENT AND WAIVER
N/A
CENSURED AND FINED $650.00.
ACCEPTANCE OF LETTER OF ACCEPTANCE, WAIVER, &
CONSENT BY NASD REGULATION. CENSURE & A FINE OF $5,500 LEVIED
AGAINST MEMBER FIRM-OLGIVIE SECURITY ADVISORS CORP.(CRD #10105)
& MYSELF JOINTLY.
$3000 TOTAL PAID 8/23/2001, MAILED US EXPRESS 8/24/2001.
FINED JOINTLY AND SEVERALLY
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
WYMAN AND THE EXCHANGE ENTERED INTO A STIPUATION OF FACTS AND
CONSENT TO PENALTY FOR THE PURPOSE OF SETTLING THE PROCEEDING.
WYMAN WAS CENSURED AND FINED $40,000.
FINE $250 ALL RIGHTS WAIVED 2/2/81
PAYMENT WAS MADE ON 11/30/07.
BASED UPON THE OFFER OF SETTLEMENT, IT IS THE DECISION OF THIS COMMITTTEE THAT RESPONDENT TERRY L. WINGET BE
MR. STOOPLER ENTERED INTO STIPULATION OF FACTS
AND CONSENT TO PENALTY WITH NYSE WITHOUT ADMITTING OR DENYING
THE ALLEGATIONS. AGREED TO PANEL'S FINDINGS. THE PENALTY WAS A
NET FINE OF $5,000 (REDUCED FROM $30,000) AND A CENSURE.
##################################################################################
N/A
WITHOUT ADMITTING OR DENYING THE ABOVE DESCRIBED
ALLEGATIONS, I WAS FINED $2,500.00 FOR PENALTY AND REQUIRED TO
REQUALIFY THE SERIES 63 TEST.
VAN CLEMENS & CO INC., PATRICK VANYO AND I WERE
FINED A TOTAL OF $40,000. VAN CLEMENS & CO WAS RESTRICTED FROM
SELLING RETAIL PRINCIPAL FOR ONE YEAR. THIS COMPLAINT WAS
COMBINED WITH CHI-1312 (AUG 3, 1990) (SETTLEMENT)
VAN CLEMENS & CO. PATRICK VANYO, & I WERE FINED
A TOTAL OF $40,000.
VAN CLEMENS WAS RESTRICTED FROM SELLING RETAIL PRINCIPAL FOR
ONE YEAR.
THIS COMPLAINT WAS COMBINED WITH CHI-1282 (MAY 11, 1990)
(SETTLEMENT)
IN 2 OF THE 4 CAUSES, VAN CLEMENS, RESPONDENT
THOMAS VANIYO WERE CITED FOR VIOLATION SEC. I AND SECTION 4 OF
ARTICLE III, OF THE RULES OF FAIR PRACTICE OF NASD. FINE WAS
$5,000.00 AND THE COST OF THE HEARING, $497.54.
FINE OF $11,129.15
SUSPENDED FOR 60 DAYS W/O ADMITTING OR DENYING
ALLEATIONS
$3000.00 FINE JOINTLY & SEVERALLY. PAID 01/09/1995 BY SINGLE PAYMENT. NOTHING WAIVED.
SETTLEMENT BY LETTER OF ACCEPTANCE, WAIVER AND
CONSENT. CENSURED AND FINED $7500 JOINTLY & SEVERALLY WITH
FIRM.
CONSENT WITHOUT ADMITTING OR DEALYING
ALLEGATIONS OF COMPLAINT, TO MINIMUM $5000 FINE AND CENSURE.
REGISTRATION AS A SALESMAN WAS SUSPENDED FOR A PERIOD OF 15 DAYS.
I WAS SUSPENDED FROM ASSOCIATION WITH ANY BROKER
OR DEALER OR INVESTMENT ADVISOR FOR A PERIOD OF 4 MONTHS.
FINED IN THE AMOUNT OF $2,000.00
PAID COSTS OF $726.35 AND FINE OF $5,000 TO NASD ON
JULY 8, 1992.
##################################################################################
NONE
WITHOUT ADMITTING OR DENYING ALLEGATIONS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF THE FINDING THER
TRULOCK & COMPANY WAS FINED $1,000.00, CENSURED
AND SUSPENDED FOR 15 BUSINESS DAYS. MR TANCILL,ALONG WITH TWO
OTHER RESPONDENTS, WAS CENSURED. THE DECISION WAS COMBINED
WITH COMPLAINT NO N-75.
TRULOCK & COMPANY WAS FINED $1,000.00, CENSURED
AND SUSPENDED FOR 15 BUSINESS DAYS. MR. TANCILL, ALONG WITH TWO
OTHER RESPONDENTS, WAS CENSURED. THE DECISION WAS COMBINED WITH
COMPLAINT NO. N-75.
CONSENT ORDER ENTERED BY ARKANSAS SECURITIES
COMMISSIONER WHEREBY TAYLOR WAS CENSURED FOR VIOLATING THE
ARKANSAS SECURITIES ACT.
$2,000 FINE
N/A
##################################################################################
##################################################################################
WITHOUT ADMITTING OR DENYING ALLEGATIONS THERE WA
A CENSURE AND A FINE OF $25,000.00.
CENSURE & FINED $15,000 AND SUSPENDED FOR 5
BUSINESS DAYS. FINE PAID 2/6/89
BOENNING & SCATTERGOOD, INC. AND HAROLD F
SCATTERGOOD, JR. EACH CENSURED AND FINED $22,500 JOINTLY AND
SEVERALLY AND ASSESSED HEARING COSTS OF $2,748.
##################################################################################
SINCE I WAS NO LONGER IN MANAGEMENT AND HAD NO
DESIRE TO GO INTO MANAGEMENT, I AGREED, TO A 2 YEAR BAR FROM
MANAGEMENT WHICH CONCLUDED NOV. 3, 1988.
JOINT AND SEVERAL CENSURE AND $25,000 FINE FOR
MEMBER FIRM, AND SIX RESPONDENTS.
JOINT AND SEVERAL CENSURE AND $25,000 FINE FOR
MEMBER FIRM, AND SIX RESPONDENTS.
THE FIRM CONSENTED TO ORDER WITHOUT ADMITTING OR
DENYING ALLEGATIONS. AGREED TO ADDITIONAL SUPERVISORY AND
COMPLIANCE PROCEDURES, INCLUDING NEW COMPLIANCE MANUAL.
NO SANCTION AGAINST W.W. SATTERFIELD INDIVIDUALLY
CENSURED
CENSURE.
JOINT & SEVERAL FINE OF $1,000.
MARK-TO-MARKET ON LARGE BLOCKS OF T.B.A. MORTGAGE - BACKED.
SECURITIES THAT DID NOT CLEAR ON SETTLEMENT DATE.
CENSURE AND $5,000 FINE AGAINST POWELL &
SATTERFIELD, INC, WILLIAM WALTER SATTERFIELD, JOSEPH A. POWELL,
SR. SCOTT ARTHUR WELCH JOINTLY AND SEVERALLY.
##################################################################################
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS OF
THE COMPLAINT, MR. SATTERFIELD AGREED TO THE TERMS OF THE OFFER
OF SETTLEMENT AND ACCEPTED A CENSURE.
SOLOMON WAS SUSPENDED FOR 5 DAYS AND FINED
$200.00 BASED ON THE GEORGIA PROBLEM. THE SUSPENSION WAS
RETROACTIVE TO COINCIDE WITH SUSPENSION BY THE STATE OF GEORGIA
WHICH COMMENCED ON 02/11/76. 07/09/76 FINAL FINES & COSTS
07/27/76 FC #6581 PAID.
AS A RESULT OF THE VIOLATIONS, THE STATE OF
GEORGIA ISSUED A SUSPENSION ORDER SUSPENDING MR. SOLOMON'S
REGISTRATION FOR 30 DAYS EFFECTIVE 02/11/76 AND HE WAS
TERMINATED FOR CAUSE ON THAT DATE BY EDWARD D. JONES & CO.
MR. SOLOMON WAS CENSURED
IN 1981 THE STATE OF MISSOURI, DIVISION OF SECURITIES ISSUED A CEASE AND DESIST ORDER AGAINST RICHARD ROEDER.
##################################################################################
3 WEEK SUSPENSION - AUG. 27, 1990 THROUGH SEPT.
14, 1990, AND $10,000 FINE.
WITHOUT ADMITTING OR DENYING THE VIOLATIONS
SCOTTSDALE & MR. RINEY SIGNED A LETTER OF ACCEPTANCE, WAIVER &
CONSENT AGREEING TO TAKE CORRECTIVE ACTIONS & PAYMENT OF A
3,000 FINE.
THE NASD CENSURED ME AS THE PRINCIPAL IN CHARGE.
THE NASD FINED THE FIRM $500.00
$1,500.00 FINE FROM INDIANA SECURITIES
##################################################################################
CONSENTED TO A CENSURE AND FINE OF $1,500.00
JOINTLY AND SEVERALLY. FINE PAID: 6/26/1979.
CONSENT TO A PENALTY OF CENSURE OF THE MEMBER
FIRM F. L. PUTNAM & COMPANY, INC., AND REGISTERED PRINCIPAL, J.
STEPHEN PUTNAM AND A FINE, JOINTLY AND SEVERALLY, NOT TO EXCEED
$1,000.00. FINE PAID: 3/17/1980
##################################################################################
OFFER OF SETTLEMENT TO NASD WHICH NEITHER ADMITS
OR DENIES THE ALLEGATIONS WAS ACCEPTED BY THE NASD. CENSURED
AND FINED $1500.00 JOINTLY AND SEVERALLY.
DECISION AND ORDER OF ACCEPTANCE OF OFFER OF
SETTLEMENT 3/14/1984 RESPONDENTS WERE CENSURED AND FINED A SUM
OF $1,500.00 JOINTLY AND SERVERALLY.
##################################################################################
MR. ROWADY WAS CENSURED FOR BEING FOUND TO HAVE
VIOLATED NASD RULES.
MR. ROWADY WAS CENSURED FOR BEING FOUND TO HAVE
VIOLATED SUCH REGULATIONS. FIRM INVOLVED WAS SEC FILE #34-8708.
##################################################################################
##################################################################################
##################################################################################
25 DAYS SUSPENSION, COMMENCED ON 12/18/92 AND
ENDED 1/12/93. CIVIL PENALTY IN THE AMOUNT OF $50,000.
A CENSURE AND $2,000 FINE JOINTLY AND SEVERALLY
$3,500 FINE AND CENSURE IMPOSED.
##################################################################################
FIRM WAS FINED JOINTLY AND SEVERALLY FOR $25,000.
RANEY IS CENSURED, FINED $500.00 ALL RIGHTS OF
APPEAL WAIVED. LETTER OF ADMISSION
DECISION RENDERED 6/19/84 WHEREIN THE OFFER OF
SETTLEMENT SUBMITTED BY RANEY WAS ACCEPTED. THEREFORE, HE IS
CENSURED, FINED $10,000 AND ASSESSED COSTS OF $90.00.
RANEY WAS CENSURED AND FINED $100.00 WHICH WAS
PAID IN FULL.
06-26-01, OFFER OF SETTLEMENT ACCEPTED JUNE 14, 1984 WHEREIN RESPONDENT IS CENSURED.
HAROLD PEREMEL AND PEREMEL AND ASSOCIATES WERE
CENSURED AND FINED $1500 JOINTLY AND SEVERALLY. HAROLD PEREMEL
WAS SUSPENDED FROM ASSOCIATION WITH ANY MEMBER IN ANY CAPATICY
FOR A PERIOD OF 5 DAYS.
PEREMEL & CO, INC. AND HAROLD PEREMEL WERE
CENSURED AND FINED $4,000 JOINTLY AND SEVERALLY.
HAROLD PEREMEL WAS CENSURED AND FINED BY THE
NASD $200.00 FOR NOT TERMINATING THE ACCOUNT EXECUTIVES SOONER.
##################################################################################
SWCHOENTHAL CONSENTED, WITHOUT ADMITTING OR
DENYING ANY ALLEGATIONS, TO A CIVIL MONETARY PENALTY OF $3,000
IN FUJLL SETTLEMENT OF ALL RELEVANT CLAIMS.
THE NBCC UPHELD THE DBCC DECISION TO CENSURE AND
FINE MJKI AND MILLER, JOHNSON AND RAHM $8,510 JOINTLY AND SEVERALLY. COSTS FOR THE
PROCEEDINGS IN THE AMOUNT OF $1,239 WERE ALSO ASSESSED AGAINST THE RESPONDENTS.
##################################################################################
##################################################################################
MEMBER FINED $7,500 AND REQUIRED TO PRE-FILE ALL
ADVERTISING AND SALES LITERATURE FOR 6 MO'S.
MEMBER FIRM AND RESPONDENT CENSURED AND FINED $8,500.00 JOINTLY AND SEVERALLY.
NOT PROVIDED
NO FINE. 90 DAY SUSPENSION SERVED FROM 06/05/2000 TO
09/02/2000. NO REQUALIFICATION REQUIRED.
CENSURED AND FINED $250.00
ON 7/12/1988, COMMISSIONER OF SECURITIES FOR STATE OF GEORGIA PROPOSED TO ISSUE ORDER OF DENIAL OF REPRESEN
EFFECTIVE MARCH 15, 1988, REPRESENTATIVE WAS BARRED FROM REGISTRATION IN TENNESSEE AS AN AGENT FOR TWO YE
Not Provided
PLEASE SEE ANSWER TO QUESTION 12A-
THE FINE WAS PAID ON 12/13/2000
SUSPENDED FOR FIVE BUSINESS DAYS.
FINRED $6000.
THE OFFER OF SETTLEMENT SUBMITTED BY O'NEAL WAS ACCEPTED, THEREFORE HE WAS CENSURED & FINED $1,500-J&S. AL
THREE MONTH SUSPENSION
##################################################################################
MR. PESKIN SETTLED THE MATTER WITH THE NEW YORK
STOCK EXCHANGE BY AGREEING TO A CESURE, A FINE OF $15,000 AND A
60 DAY SUSPENSION.
IN ORDER TO CONTINUE TO CONDUCT BUSINESS IN THE
STATE OF DELAWARE AND TO AVOID THE TIME, EXPENSE AND
UNCERTAINTY OF LITIGATION, A CONSENT ORDER WAS AGREED TO BY THE
PARTIES.
I WAS BARRED FROM BEING A PRINCIPAL OR OTHER
SUPERVISORY CAPACITY, UNTIL I NOTIFIED THE SEC AND RECEIVED
WRITTEN CONSENT TO SERVE AS SUCH.
$500.00 WAS PAID ON 10/24/2008
CENSURED, SUSPENDED FOR 3 DAYS AND FINED
$7,500.-
ONLY CONSENT ORDER OF PROHIBITION 8/29/1991.
SUSPENSION APRIL 21, 1997- JUNE 4, 1997
SUSPENSION APRIL 21, 1997- JUNE 4, 1997
$1,000.00 FINE & CENSURE
CITIED FOR LACK OF SUPERVISION, CENSURE - $2500
FINE.
$1,000.00
06/04/2003 LOWENTHAL CONSENTED WITHOUT ADMITTING OR DENYING GUILT TO FINDINGS THAT HE PERMITTED MEMBE
RESULTANT WAIVER. AGREED TO CEASE AND DESIST FROM
SIMILAR ACTIVITIES PAID ADM. COSTS OF DIVISION MGT. IN AMT. OF
$200.00. THIS INFORCEMENT ORDER SHALL EXPIRE AND BE OF NO EFFECT
12 MONTHS AFTER THE DATE OF ITS ISSUANCE.
KIMBALL WAS CENSURED AND FINED $2,500.00.
I WAS GIVEN A 45 DAY SUSPENSION FROM RGISTRATION
AS A REPRESENTATIVE IN THE STATE OF COLORADO. DURING THIS
SUSPENSION, I, TERRY C. KINGSBERY REFRAINED FROM ANY ACTIVITIES
IN THE STATE OF COLORADO, FOR WHICH REGISTRATION AS A
REPRESENTATIVE IS REQUIRED.
##################################################################################
ON NOVEMBER 19, 1971, THOMAS D. LEVIS, D/B/A INVESTORS COMPANY, WAS THE SUBJECT OF
NASD SUMMARY COMPLAINT
#NY:SC-378 IN WHICH THE FIRM WAS CENSURED AND FINED $500.
##################################################################################
##################################################################################
CENSURED AND FINED $7,500 AND AGREED TO MAKE
FULL RESTITUTION TO PUBLIC CUSTOMERS IN AN AMOUNT EQUAL TO THE
PORTION OF THE PURCHASE PRICE IN EXCESS OF THE ORIGINAL
OFFERING PRICE OF THE SECURITIES.
TEN BUSINESS DAY SUSPENSION JANUARY 18, 2005 THROUGH JANUARY 31, 2005
FINE OF $15,000.00 JOINTLY AND SEVERLLY FINE OF $12,500.00 FOR APPLICANT AND CONTROL AFFILIATE CENCESURED.
##################################################################################
CONSENT TO CENSURE WITHOUT ADMITTING OR DENYING
ANY VIOLATIONS.
##################################################################################
ON OCTOBER 29, 2007, MR. KONST PASSED THE SERIES 24 EXAMINATION.
ORDER OF SUMMARY SUSPENSION. FINAL ORDER OF SUMMARY SUSPENSION, DATED 03/31/95 WAS VACATED. MY LICENSE
ONE YEAR SUSPENSION OF SECURITY LICENSE. ON MAY 1, 1982, MY LICENSE WAS SUSPENDED FOR
ONE (1)
YEAR.
##################################################################################
AUTOMATIC SUSPENSION OF LICENSE ON 4/15/81 DUE
TO GEORGIA SUSPENSION 2/10/81.
CENSURED AND FINED $3050.00
CENSURE.
CENSURED AND FINED $750.00
ADMINISTRATIVE PENALTY IN THE AMOUNT OF $5000.00 PAYABLE WITHIN 30 DAYS.
MR. HUNTER WAS CENSURED.
30 DAY SUSPENSION
##################################################################################
FINE WAS PAID IN NOVEMBER 1997
APPLICATION DENIED
LICENSE DENIED - RESTRICTED LICENSE GRANTED ON
2/27/86 - FULL LICENSE GRANTED AFTER 2 YRS.
DENIAL OF LICENSE
FINED $2000 AND SUSPENDED FOR 1 MO. DEEMED
SERVED.
CENSUE FROM NYSE
IN A HEARING THE FLORIDA SEC ESTABLISHED THAT I
HAD ESTABLISHED WORTHINESS AND AND LICENSE WAS GRANTED.
REQUEST I APPEAR FOR A HEARING
ORDER WAS DISSOLVED AFTER INFORMAL CONFERENCE
WITH THE STAFF OF THE ALABAMA SECURITIES COMMISSION.
FINED $25,000 JOINTLY AND SEVERALLY, AND SUSPENDED FROM ASSOCIATION WITH ANY NASD MEMBER IN ANY SUPERVISO
FOUND TO HAVE VIOLATED ARTICLE III SECTION I OF RULES OF FAIR PRACTICE WITH RESPECT TO THE NASD'S INTERPRETATIO
SUSPENDED FROM ASSOCIATION WITH ANY BROKER OR DEALER IN A SUPERVISORY CAPACITY FOR A PERIOD OF 120 DAYS. A
##################################################################################
CNESURED AND FINED $5000. FULLY PAID -INVOCE
#94-01-785
FINE WAS PAID. NO FURTHER VIOLATIONS. SAW TO IT
THAT FUTURE AUDITS WERE ON TIME.
##################################################################################
##################################################################################
WITHOUT ADMITTING OR DENYING THE FINDINGS OF FACT, APPLICANT CONSENTED TO A FINE OF $5,000 PLUS ASSESSMENT
UNDER THE CONSENT ORDER MR WARREN HAYES WAS
SUSPENDED FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT
ADVISOR, INVESTMENT COMPANY OR AFFILIATE THEREOF FOR FOUR
MONTHS EFFECTIVE APRIL 4, 1980
SHOW CAUSE ORDER VACATED
FINED $20,000 JOINTLY AND SEVERLY WITH HEIDTKE &
CO. THE FIRM WILL BE SUSPENDED FROM SOLICITING NEW BUSINESS FOR
ONE WEEK.
SUSPENDED JOINTLY AND SEVERALLY WITH FIRM FROM
DOING PRINCIPAL BUSINESS IN STOCK FROM AUGUST 6-AUGUST 10.
FINED $25,000.00 JOINTLY WITH HEIDTKE & COMPANY
SUBJECT TO APPROVAL FROM NATIONAL DBCC.
##################################################################################
CENSURE & FINE OF $3,000. ALL SECURITIES
ADVERTISING TO BE FILED WITH NASD IN ADVANCE OF USE FOR ONE YEAR
FROM JANUARY, 1988.
I RECEIVED A CENSURE.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS,
MR. JOHNSON PAID AN ADMINISTRATIVE PENALTY OF $350.00 IN
SETTLEMENT AND SATISFACTION OF ALL ISSUES ADDRESSED IN THE
ORDER.
##################################################################################
ADMINISTRATIVE PENALTY OF $1,500 WAS PAID ON JUNE 12, 2000
PROHIBITED FROM ACTING AS A SUPERVISOR FOR SIX
(6) MONTHS
FRANK HIEGEL WAS CENSURED AND FINED $10,000.00
HE WAS ALSO BARRED FROM ASSOCUATION WITH ANY MEMBER OIF THE
ASSOCIATION IN ANY PRINCIPAL CAPACITY, WIT H A RIGHT TO REAPPLY
FOR A PRINCIPAL LICENSE AFTER THREE YEARS.
SETTLED CENSURED AND FINED $1500.00 PAID IN FULL
ON AUGUST 16, 1983, HILL PAID A $300. FINE WITHOUT ADMITTING OR DENYING HE ALLEGATIONS.
ORDERED TO CEASE AND DESIST
ORDERED TO CEASE AND DESIST
NONE
FINE OF $8,500 WAS PAID JOINTLY AND SEVERALLY.
FINE OF $10,000 AND SUSPENSION OF PRINCIPAL
LICENSE FOR A TOTAL OF 5 YEARS.
ACCEPT & CONSENT OF FINDINGS AND AGREEMENT TO
CENSURE AND A $1500 FINE. LETTER OF AWC
SUSPENDED FOR A TWO MONTH PERIOD BY THE NEW YORK
STOCK EXCHANGE EFFECTIVE APRIL 2, 1957.
CENSURED AND FINED $5,000 BY THE NEW YORK STOCK
EXCHANGE. THE EXCHANGE ALLEGED THAT IN CONNECTION WITH CERTAIN
ARBITRAGE TRANSACTIONS, I FAILED TO MAKE ADEQUATE ARRANGEMENTS
TO BORROW SHARES TO MAKE DELIVERY AGAINST SHORT SALES.
CENSURED AND SUSPENDED FROM ASSOCIATION IN A
SUPERVISORY OR PROPRIETARY CAPACITY WITH ANY BROKER DEALER,
INVESTMENT COMPANY, INVESTMENT ADVISOR OR MUNICIPAL DEALER FOR
A PERIOD OF TWELVE (12) MONTHS.
##################################################################################
REP WAS SUSPENSED FROM ACTING AS FINANCIAL ADVISOR UNTIL PROPER PAPERWORK WAS RECIEVED BY THE STATE MISSO
12 MONTH SPECIAL SUPERVISION ORDER BEGINNING 12/24/2003 ENDING 12/2004.
CENSURE
DENIAL OF OHIO APPLICATION
FOUND IN VIOLATION OF ARTICLE III, SECTION 1 OF
THE RULES OF FAIR PRACTICE. CENSURED AND FINED $7,500 (JOINTLY
AND SEVERALLY WITH FIRST SIERRA INVESTMENT COMPANY, INC. AND
CRAIG J. VALLELY)
MR. DONNER WAS CENSURED.
N/A
ALAN KEN FLAKE WAS REPRIMANDED AND ASSESSED A
FINE OF $750.00 WHICH HAS BEEN PAID IN FULL.
##################################################################################
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##################################################################################
WILL NOT REAPPLY FOR 1 YR, $10,000 FINE, WILL
NOT PERFORM SUPERVISION WITHOUT WRITTEN PERMISSION, WILL NOT
SELL CERTAIN NON NMS SECURITIES.
$1000.00 FINE.
$500 FINE
MY APPLICATION WITH THE STATE OF OHIO WAS DENIED ALLEGING THAT I AM NOT OF GOOD BUSINESS REPUTE.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS THE
OFFICERS & DIRECTORS OF ANCHOR RECEIVED A CENSURE FROM THE
STATE AND THE LICENSE OF THE SALESMAN AND ANCHOR SECURITIES
WERE REVOKED. I RECEIVED A CENSOR & LICENSE SUSPENSION WAS
LIFTED.
MR. KNUTSON AGREED TO WITHDRAW HIS OHIO SECURITIES SALESPERSON'S LICENSE AND NOT REAPPLY FOR SUCH LICENSE
ACCEPTANCE, WAIVER & CONSENT (AWC) NO MONETARY
PAYMENT OR FINE SOUGHT OR AWARDED
FIRM PAID FINE BROKER DID NOT. SIGNED AN
AGREEMENT NOT TO DO AGAIN. NO OTHER PENALTY.
45-DAY SUSPENSION FROM ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT COMPANY,
INVESTMENT ADVISOR, OR
MUNICIPAL SECURITIES DEALER.
BAR - PERMANENT - GENERAL SECURITIES SALES SUPERVISOR
SUSPENSION - 3 MONTHS
START DATE 02/24/1987 STOP DATE 05/24/1987
ALL CAPACITIES
HIS SALES TO CUSTOMERS MUST BE REVIEWED BY HIS EMPLOYER FOR A PERIOD OF TWO YEARS.
##################################################################################
WITHOUT ADMITTING OR DENYING THE FINDINGS,CHANCLER CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTR
PHL 632 - FORMAL COMPLAINT RESULTING IN A CENSURE
PHL 565 AWC RESULTING IN A CENSURE TO THE FIRM
(BOENNING & SCATTERGOOD, INC) MYSELF, AND 4 OTHER OFFICERS & A
FINE NOT TO EXCEED $5,000.00 JOINTLY & SEVERALLY.
THE FINE OF $4,233.46 INCLUDES DISGORGEMENT OF COMMISSIONS OF $1,733.46 EARNED FROM THE SALE OF THE HOT ISS
CENSURED AND FINED $120. FC $7400 PAID
CENSURED AND FINED $1,400. JOINT & SEVERALLY AND
ASSESSED COSTS OF $65. ALL RIGHTS OF APPEAL WAIVED. FINAL
7/28/80. 1/21/82; FC 7942 PAID JOINTLY AND SEVERALLY.
##################################################################################
14 DAY SUSPENSION AND A $500 FINE
NYSE CENSURE.
##################################################################################
$2,000 FINE. I PAID $400 AND THE OTHER PRINCIPAL
PAID $1600
Not Provided
12-29-1978 FILED #ATL-590 DIST #7: 09-04-1979 CENSURED FINED $500 J&S 09-04-1979 ALL RIGHTS WAIVED 09-04-1979 FIN
##################################################################################
2 MONTH SUPERVISORY SUSPENSION, $20,000.00 FINE
AND A REQUIREMENT TO RETAKE AND PASS THE SERIES 8 BEFORE
RESUMING SUPERVISORY DUTIES.
##################################################################################
##################################################################################
##################################################################################
FIRM STEPHENS INC. FINED $2,000. INDIVIDUAL I.
ERNEST BUTLER, JR. ASSESSED COSTS OF $65.00.
##################################################################################
N/A
##################################################################################
N/A
THE FINE WAS LEVIED JOINTLY AND SEVERALLY AGAINST ALL RESPONDENTS. THE FIRM PAID THE ENTIRE FINE.
THE FINE WAS LEVIED JOINTLY AND SEVERALLY AGAINST ALL RESPONDENTS. THE FIRM PAID THE FINE.
THE FINE WAS LEVIED JOINTLY AND SEVERALLY AGAINST ALL RESPONDENTS. THE FINE WAS PAID ENTIRELY BY THE FIRM.
N/A
ORDER IS IN FORCE FOR A PERIOD OF NOT LESS THAN TWO YEARS FROM THE EFFECTIVE DATE. AFTER THE TWO YEAR PERIOD
THE DECISION IS FINAL AND EFFECTIVE 01/14/2005.
ENTRY OF CONSENT ORDER, UNDERTAKING TO COMPLY
FOR ADMINISTRATIVE COSTS.
9 MONTH SUPERVISORY SUSPENSION WILL COMMENCE THE CLOSE OF BUSINESS 10/12/2001.
RETAKE THE SERIES 9 & 10 EXAMS PRIOR TO THE END OF THE SUPERVISORY SUSPENSION.
CENSURE; 12 MONTH SUSPENSION FROM SUPERVISORY
RESPONSIBILITIES, DEEMED SERVED; AND A $15,000 FINE.
MR. COOK HAS NOT YET BEEN INFORMED OF THE DATE BY WHICH HIS PAYMENT WILL BE DUE.
##################################################################################
ONE MONTH SUSPENSION, A $4,000 FINE AND THREE
YEARS SUPERVISORY BAR RETROACTIVE TO MARCH 4, 1977. SUSPENSION
SERVED AND FINE PAID IN FULL.
PENALTY OF A CENSURE AND A MONETARY FINE OF
$2,000 ASSESSED JOINTLY AND SEVERALLY.
CONSENT - CENSURE AND FINE OF $2,500.00 - FINE
WAS PAID ON 01/20/92
LICENSE SUSPENDED FOR NON-PAYMENT OF RENEWAL FEES, NON COMPLIANCE WITH CE REQUIRMENTS.
##################################################################################
FINE PAID ING FULL 12/10/86 2000.00
##################################################################################
CARTY & COMPANY, INC. AND BILL R. CARTY
REGISTRATIONS WERE SUSPENDED FOR 5 DAYS, BUT THE SANCTION WAS
SUSPENDED CONDITIONED UPON THEIR COMMITTING NO VIOLATIONS OF THE
ACT FOR A ONE YEAR PERIOD.
CARTY & COMPANY, INC. WAS FINED $13,000.00
CARTY & COMPANY, INC. FILED A WRITTEN UNDERTAKING
NOT TO VIOLATE THE ILLINOIS SECURITIES LAW IN THE FUTURE.
CARTY & COMPANY, INC. REGISTRATION WAS SUSPENDED
FOR TWENTY-SIX DAYS.
CARTY & COMPANY, INC. WAS ORDERED TO CEASE AND
DESIST FROM TRANSACTING BUSINESS IN MONTANA. CARTY & COMPANY,
INC. SUBSEQUENTLY APPLIED FOR AND RECEIVED A BROKER/DEALER
LICENSE IN MONTANA.
CARTY & COMPANY, INC. WAS FINED $1,000.00 AND
SUSPENDED FROM TRADING FOR ONE DAY.
CARTY & COMPANY, INC. AND BILL R. CARTY WERE
ORDERED TO CEASE AND DESIST MAKING OFFERS AND SALES IN GEORGIA
AND FROM VIOLATING THE GEORGIA SECURITIES ACT. CARTY & COMPANY,
INC. SUBSEQUENTLY APPLIED FOR AND RECEIVED A LICENSE IN THE
STATE OF GEORGIA.
CARTY & COMPANY, INC. WAS SUSPENDED FOR 30 DAYS
FROM SELLING SECURITIES TO INDIVIDUAL RESIDENTS OF ALABAMA.
I WAS ORDERED TO CEASE AND DESIST FROM FURTHER
VIOLATIONS OF THE TENNESSEE SECURITIES ACT, FINED $3,500.00 AND
MADE RECISSION OFFERS TO THE CUSTOMERS INVOLVED.
CENSURED & FINED $5,000 AND SUSPENDED FROM
ASSOCIATION WITH NASD MEMBER FOR 10 DAYS. FINE WAS PAID
8/20/91
NYSE DECISION-79-47 HEARING PANEL IMPOSED A
CENSURE & 3 MONTH SUSPENSION
FOR A PERIOD OF (12) CALENDAR MONTHS IMMEDIATELY
FOLLOWING THE DATE OF THIS ORDER GRANDING CONDITIONAL
REGISTRATION, APPLICANT SHALL NOT MAINTAIN ANY DISCRETIONARY
TRADING ACCOUNTS.
SIX MONTH BAR FROM MEMBERSHIP TO BEGIN ON NOVEMBER 30 1983
SETTLED WITH A LETTER OF ADMISSION, WAIVER AND
CONSENT. A PENALTY OF CONSENT. A PENALTY OF CENSURE AND A
FINE OF $3000.00 WAS LEVIED AGAINST WILLIAM HOOD, (THE FIRM'S
PRESIDENT) AND ALAN BUSH, (THE FINANCIAL PRINCIPAL) JOINTLY AND
SEVERALLY.
SUSPENSION FOR (5) DAYS AND A $2,000 FINE
SUSPENDED FOR 1 MONTH
CONSENT TO A CENSURE, A ONE MONTH SUSPENSION AND
A $900.00 FINE.
SUSPENDED BY THE SEC FROM ASSOCIATION WITH ANY BROKER OR DEALER FROM AUGUST 4, 1980 TO AUGUST 15, 1980.
PENALTY OF $7,500 FINE AND REQUIRED TO TAKE &
PASS THE SERIES 24 PRINCIPALS EXAM.
LICENSE WAS SUSPENDED FOR 60 DAYS ON DECEMBER 3, 1981.
CENSURED, FINED $2,500 AND COSTS OF DBCC OF
$1,066 AND NBCC COSTS OF $1,148.76.
I PAID $72.27 FOR ONE HALF THE COST OF THE
HEARING AND WAS FOUND GUILTY FOR THE SITUATION BUT NOTHING WAS
DONE FOR PERSONAL GAIN AND DATE CHANGES WAS ONLY TO ACCOMODATE
THE EMPLOYER.
REPORT PREPARED BY OUTSIDE COUNSEL REVIEWING EXISTING PROCEDURES AND MAKING RECOMMENDATIONS TO STRENG
AWC. SANCTIONS: CENSURE AND $2,617.99 FINE
CENSURE, THREE WEEK SUSPENSION FROM EMPLOYMENT
OR ASSOCIATION IN ANY SUPERVISORY CAPACITY WITH ANY MEMBER OR
MEMBER ORGANIZATION AND A $10,000 FINE.
SUBMITTED A STIPULATION OF FACT & CONSENT TO
PENALTY NYSE HEARING PANEL IMPOSED THE PENALTY CONSENTED TO BY
BELL OF A CENSURE & A FINE OF $1,000
FINED AND CENSURED
* FINE $9,000.00 PAID APRIL 7, 1989
FIRM AND INDIVIDUALS PAID TOTAL OF $2500
NONE. FIRM AND AGENTS BECAME REGISTERED IN
KANSAS.
CENSURE, COSTS OF HEARING UNDER $500.00. NO
FINES
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CENSURED AND FINED FIVE THOUSAND DOLLARS.
ORDER SHALL REMAIN IN EFFECT FOR A PERIOD OF NOT LESS THAN TWO YEARS FROM EFFECTIVE DATE. AFTER TWO YEARS, P
I CONSENTED TO A CENSURE AND A FINE OF $1,500.
THERE WAS NO BAR, SUSPENSION OR LIMITATION OF ANY OF MY
ACTIVITIES.
ON 10/20/2008 CONSENT ORDER WAS ISSUED WHICH RESOLVED CD-2008-0021 THAT WAS ISSUED 07/09/2008.
I WAS CENSURED AND FINED $5,000. THE FINE WAS
PAID BY SUTRO & CO.
I HAD TO RETEST FOR MY LIFE & HEALTH LICENSE. I
DID SO & PASSED BOTH TESTS. I ALSO TOOK 24 HOURS OF CONTINUING
EDUCATION COURSE WORK.
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GSR-SUSPENDED FOR 30 DAYS
APPLICANT, WITHOUT ADMITTING OR DENYING THE
ALLEGATIONS, AGREED NOT TO APPLY FOR A SECURITIES LICENSE IN THE STATE OF WISCONSIN FOR
A PERIOD OF 5 YEARS.
DAVID ZACHMEYER HAS BEEN APPROVED FOR
REGISTRATION AS AN AGENT IN THE STATE OF INDIANA SUBJECT TO THE ABOVE AGREEMENT.
SUSPENSION OF ALL MA SECURITIES REGISTRATIONS FOR A PERIOD OF 30 DAYS BEGINNING ON 04/16/2009. ADMINISTRATIV
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THE MATTER WAS SETTLED AND THE REP AGREED TO A 2 YEAR SUSPENSION, STARTING OCTOBER 13, 2008, OF HIS REGISTRA
FINE VISION $7,500, $5,000 JOINT AND SEVERAL WITH DAN GALLAGHER.
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NOT PROVIDED
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RESPONDENT WILL NOT ACT AS A DESIGNATED PRINCIPAL IN THE STATE OF IL FOR A PERIOD OF FIVE YEARS. RESPONDENT W
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ORIGINAL TEMPORARY ORDER WAS VACATED. I AGREED
TO COMPLY WITH THE TERMS OF A SETTLEMENT AGREEMENT REACHED WITH
THE CUSTOMER.
$2,500.00 FINE
PETER NAZOS CONSENTED TO A CENSURE, THREE WEEK
SUSPENSION, $7,500 FINE AND SPECIAL SUPERVISION.
RESOLVED & SETTLED I WAS REGISTERED IN TEXAS ON
11-8-96 WITHOUT ADMITTING OR DENYING ANY OF THE FINDINGS BY
SIGNING A CONSENT ORDER.
IN ORDER TO APPROVE MR. CIERSKI IN THE STATE OF
INDIANA, THE STATE OF INDIANA REQUIRED THAT MR. CIERSKI SIGN AN
ORDER OF RESTRICTIVE AGREEMENT. UPON EXECUTING THE ORDER OF
RESTRICTIVE AGREEMENT, MR. CIERSKI WAS APPROVED IN THE STATE OF
INDIANA.
DENIAL OF REGISTRATION
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SUSEPENSION ACTING IN A PRINCIPAL CAPACITY FOR A PERIOD OF 15 BUSINESS DAYS - DATES HAVE NOT BEEN ESTABLISHED
ORDER VACATED FOR GOOD CAUSE, AGENT ALLOWED TO WITHDRAW.
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$5,000 FINE JOINTLY & SERVERALLY BY FIRM AND
SUSPENSION (ONE DAY) COMMENCING WITH THE OPENING OF BUSINESS ON
MAY 16, 1994 AND CONCLUDING THE CLOSE OF BUSINESS MAY 16, 1994.
02/15/2003 - 03/12/2003 INSURANCE, FIXED AND VARIABLE ANNUITIES
ON 10/20/2008 CONSENT ORDER WAS ISSUED WHICH RESOLVED CD-2008-0021 THAT WAS ISSUED 07/09/2008.
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N/A
WITHDREW REGISTRATION AND AGREED NOT TO REAPPLY FOR A 3 YEAR PERIOD. PAID $500.00 IN COSTS.
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WITHOUT ADMITTING TO OR DENYING THE VIOLATION OF
THE MICHIGAN STATUTE, MR. HOROWITZ ENTERED INTO A CONSENT ORDER
WITH THE BUREAU IN WHICH HE WAS FINED $1,000 AND CENSURED.
ORDER INCLUDES A REQUIREMENT THAT MR. RHEE PAY $15,000 TO THE MISSOURI INVESTOR EDUCATION AND PROTECTION
FOUND VIOLATED ART. III, SEC 1 OF ASSOC.'S RULES
OF FAIR PRACTICE. SANCTION: WILL BE CENSURED. COST OF
PROCEEDING WAS $777.30 WHICH I WILL BE RESPONSIBLE FOR.
REASONING FOR THE DECISION IS ANSWERED IN #9. SUPPORTING
DOCUMENTS ARE ATTACHED.
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N/A
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FINE 1250.00 NO SUSPENSION OF RESTRICTION.
NOT PAID AS OF 5/15/2007 - AWAITING REGISTRATION AND DISCLOSURE AND FINANCE DEPARTMENT.
4 MONTH SUSPENSION 10/15/1997-02/15/1998
ACCEPTANCE OF "ACCEPTANCE, WAIVER & CONSENT"
FINE OF $2,890.00
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS
APPLICANT AGREED TO: CENSURE FINE OF $4,000, SUSPENSION WITH
ANY MEMBER IN ANY CAPACITY FOR A PERIOD OF THREE (3) BUSINESS
DAYS.
START DATE OF SUSPENSION TO BE DETERMINED. RICHARDSON IS PAYING THE FULL MONETARY FINE IN THE AMOUNT OF $5
CEASE AND DESIST ALL SALES IN ALABAMA UNTIL FIRM AND REPRESENTATIVE ARE PROPERLY REGISTERED IN THAT JURISDICT
SUSPENSION FROM THE PRACTICE OF LAW IN THE STATE
OF OKLAHOMA
NA
WITHIN SIXTY DAYS OF THE ORDER, HULEN REQUIRED TO REVIEW, FOR CUSTOMERS WHO ARE OVER THE AGE OF SIXTY-FIVE,
RESPONDENTS CERTES, KOZAK AND HEDEKER WERE FINED JOINTLY AND SEVERALLY IN THE AMOUNT OF $40,000.00.
THE AMOUNT SHALL BE PAID NO LATER THAN 30 DAYS FROM THE DATE OF THE ORDER. IF PAYMENT IS NOT MADE AS AGRE
ORDERED TO CEASE AND DESIST FROM VIOLATING
SECURITIES REGULATIONS OF THE STATE OF SOUTH DAKOTA.
FILED ORDER OF RESTRICTIVE AGREEMENT ON 2/8/1999
CASEY'S NASD SUSPENSION OF 20 DAYS STARTS ON 10/4/04. HE IS ALSO REQUIRED TO REQUALIFY AS A SERIES 24 PRINCIPAL
RESPONDENT WILL NOT ACT AS A DESIGNATED PRINCIPAL IN THE STATE OF IL FOR A PERIOD OF FIVE YEARS. RESPONDENT W
FIRM FINED $12,500 AND CENSURE W.T. PAYNE FINED
$5,000 AND CENSURE
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SCOTT DONOVAN SCHROEDER PAID $5,000.00 AS AN ADMINISTRATIVE FINE PURSUANT TO SECTION 23-1 OF THE TEXAS SECU
CAN'T REGISTER IN THE STATE OF MO. AS A REGISTERED REP
$30000 FINE TO BE SHARED BY HENRY, ALEX WITTENBURG, AND ROD GRAVES. 60 DAY SUSPENSION STARTING 07/17 ENDIN
RESPONDENT EXECUTED AN AWC WHEREIN HE WAS FINED $7,500 AND SUSPENDED FOR TEN (10) BUSINESS DAYS.
THE RR EXECUTED A CONSENT ORDER OF WITHDRAWAL WITH THE STATE OF ILLINOIS AND AGREED TO WITHDRAW HIS REGI
THE INDIANA SECURITIES COMMISSIONER HAS VACATED
AND WITHDRAWN THE DENIAL ORDER ISSUED AGAINST MR. VERBIC.
WHILE NEITHER ADMITTING NOR DENYING THE ALLEGED
VIOLATIONS, MR. VERBIC AGREED TO ACCEPT THE OFFER OF
SETTLEMENT, WHICH CONSISTED OF A $12,000 FINE AND A CENSURE.
NO INDIVIDUAL PENALTIES ASSESSED TO APPLICANT. SEE ABOVE.
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REP PAID $1000.00 FINE ON 01/06/2005. COLORADO ISSUED NON-RESIDENT PRODUCER LICENSE.
THE FIRM WAS FINED, $7,500 OF WHICH WAS ASSESSED JOINTLY AND SEVERALLY WITH MYSELF. I WAS SUSPENDED IN ALL P
WITHOUT ADMITTING OR DENYING THE FINDINGS, ITRADEDIRECT.COM CORP., CONSENTED TO THE DESCRIBED SANCTIONS A
AN ORDER TO REPRIMAND AND GRANTING REGISTRATION
WAS ENTERED BY THE STATE OF TEXAS.
FINE OF $10,000 PAID ON 4/16/02.
THE SUMMARY SUSPENSION WAS VACATED PENDING AN
ADMINISTRATIVE HEARING. AFTER NEGOTIATIONS WHICH RESOLVED THE
ISSUES RAISED IN THE ADMINISTRATIVE PROCEEDING, THE
ADMINISTRATIVE PETITION WAS WITHDRAWN AND DISMISSED WITH
PREJUDICE.
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$7,500 ADMINISTRATIVE FINE TO INVESTMENT ADVISOR
AND UNDERTAKINGS (SEE ATTACHED)
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NO ADMISSION OR DENIAL OF ALLEGATIONS. PAUL F. MAUCELI, JR PAID FINE.
WITHOUT ADMITTING OR DENYING ANY OF THE
ALLEGATION CONTAINED HEREIN IN AN EFFORT TO AVOID PROTRACTED
COST AND EXPENSES.
N/A
AN ADMINISTRATIVE ACTION HAS BEEN INITIATED AND
A CEASE AND DESIST AND NOTICE OF INTENT TO BAR AND REVOKE
LICENSE WAS ISSUED. I AM NOT AWARE OF A HEARING AT THIS TIME.
ORDER TO DENY DUAL LICENSE APPLICATION
WITHOUT ADMITTING OR DENYING AND OF THE
ALLEGATIONS, I CONSENTED TO A CEASE AND DESIST ORDER, A $40,000
CIVIL PENALTY AND A SUSPENSION FOR A PERIOD OF 10 WEEKS.
I WAS NOT REQUIRED TO BE REGISTERED AS A SALESPERSON IN ILLINOIS AND WAS PERMITTED TO WITHDRAW THE APPLICAT
STIPULATED CONSENT ORDER OF PROHIBITION AND AN
ADMINISTRATIVE FINE OF $2,000.00
NO INDIVIDUAL PENALTIES ASSESSED TO APPLICANT. SEE ABOVE.
THE SECURITIES COMMISSIONER ENTERED A CONSENT
ORDER AGAINT SCOTT D. LILE. RESPONDENT WAS REPRIMANDED AND
GRANTED REGISTRATION.
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SCOTT D. SHERIDAN WAS ORDERED TO PAY JOINT AND SEVERALLY A $5,000.00 FINE AND DISGORGEMENT JOINT AND SEVER
MICHAEL DEFILIPPIS, SCOTT SHERIDAN AND TOM SOSNOFF, EXCHANGE MEMBERS AND NOMINEES OF TJC OPTIONS, WERE E
SIGNED CONSENT ORDER & DENIED
PAYABLE 60 DAYS
FINED $5000, NOTHING LEVIED AGAINST MR. HECHME. AMOUNT PAID IN FULL ON JULY 29, 2002.
APPLICANT WAS CENSURED, FINED $2,000.00 AND HAD
HIS REGISTRATION IN THE STATE OF ILLINOIS SUSPENDED FOR NINETY DAYS.
ORDER OF REGISTRATION AGREEMENT ISSUDE WHICH
PLACED MYSELF UNDER SUPERVISION UNTIL SUCH TIME AS I PASS MY SERIES 24
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ON APRIL 1, 2004 THE NASD ACCEPTED THE AWC. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, ERIK K. OLSTEIN CO
I SIGNED A LETTER OF ACCEPTANCE, WAIVER, AND
CONSENT ON 8/30/96 WHICH IMPOSED A ONE MONTH SUSPENSION AND A
$3740 FINE. SEE ATTACHED FOR CLARIFICATION OF AWC LETTER AS
WELL AS CORRECTIVE ACTIONS TO BE TAKEN.
$500.00 FINE BY THE NJ DEPT OF INSURANCE
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ONE MONTH BAR FROM NYSE (AS NYSE CAN NOT SUSPEND SOMEONE UNAFFILIATED WITH A MEMBER OF THE NYSE). BAR(S
NO PORTION OF PENALTY SUSPENDED.
BY ORDER ISSUED 11/24/97, NEW JERSEY DISMISSED THE PROCEEDING AGAINST APPLICANT
GAMBARDELLA AND VACATED THE
CEASE AND DESIST ORDER AS TO HIM.
WASHINGTON ISSUED AN AMENDED ORDER VACATING THE
PREVIOUS SUMMARY SUSPENSION ORDER AS TO GAMBARDELLA AND NOT
NAMING HIM IN THE CASE, THEREBY WITHDRAWING THE CASE AS TO HIM.
THERE WERE NO OTHER REQUIREMENTS AND SANCTIONS THAT WERE PART OF THE CENSURE. ON 10/25/2000 THE $5000.0
MR. WALKER PAID A $40,000 FINE AND $15,500 IN COSTS.
CPA LICENSE REVOKED, MARK WILBURN IS TO REIMBURSE THE BOARD OF ACCOUTANCY FOR ALL COSTS, $5,452.80, IF HE SEE
Not Provided
THERE WERE NO CHARGES, PENALTIES, FINES,
PAYMENTS, SUSPENSIONS, RESTRICTIONS OR ANY OTHER PUNITIVE
ACTIONS OF ANY KIND. APPARENTLY, [THIRD PARTY] RETURNED ANY MONIES
HE COLLECTED, AND I NEVER HEARD FROM THE D.O.C. ON THE MATTER
AGAIN
$2,500.00 PAID BY EGS SECURITIES 10/27/1999.
FINE OF $5000.00, OF WHICH $2500.00 WAS SUSPENDED. $1250 WAS PAID ON 12/22/2003 WITH THE REMAINDER DUE IN J
A FINE OF $500.00
I SIGNED A CONSENT ORDER PURSUANT TO WHICH I WAS
PLACED ON 6 MONTH PROBATION WITH,AND ORDERED TO PAY $1,000.00
ADMINISTRATIVE PENALTY TO, THE DEPARTMENT OF COMMERCE AND
INSURANCE FOR THE STATE OF TENNESSEE.
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A 10 BUSINESS DAY SUSPENSION FROM ACTING IN ANY PRINCIPAL OR SUPERVISORY CAPACITY WITH ANY MEMBER OF THE A
RR REQUIRED TO RETAKE AND PASS SERIES 24 AND WAS GIVEN 10 DAYS FROM THE CONSENT ORDER TO COMPLETE. RR SAT
I PAID THE $2,000 FINE ASSESSED AGAINST ME.
CEASE AND DESIST ORDERED ENTERED. CEASE AND
DESIST WAS REOPENED AND AMENDEMENT TO TAKE OUT JON DEMICHAEL'S
NAME. EVENT IS NO LONG REG. U-5 DISCLOSURE
I RECEIVED DISMISSAL FOR THIS MATTER ON 12/10/97. PAID AN ADMINISTRATIVE FINE - $250.00.
RECEIVED A CONSENT TO ORDER; FINE $500.00. CLOSED 8/27/1991.
N/A
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ADMINIDSTRATIVE FINE OF $200. - PAID IN FULL
I HAVE BEEN FINED 200.00 BY THE IOWA DIVISION OF
INSURANCE. THE FINE WAS PAID IN FULL BY MONEY ORDER ON 3/25/98
REQUEST/RESPONSE FOR INFORMATION DENIED.
MR. MULLEN WAS CENSURED, FINED AND SUSPENDED
FROM ASSOCIATION WITH AND NASD MEMBER IN ANY CAPACITY FOR 10
BUSINESS DAYS.
REGISTRATION AS A SALESPERSON IN THE STATE OF
ILLINOIS IS HEREBY REVOKED.
$1,000 FINE PAID 8/7/2002
THE STATE OF UTAH REVOKED MY REGISTRATION FOR LACK OF
RESPONSE.
A SUSPENSION FROM ASSOCIATION WITH ANY NASD
MEMBER IN ANY CAPACITY FOR 10 DAYS & A FINE OF $5,000.
SEE RESPONSE TO ITEM 13.B. ABOVE.
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5000.00 PAID 11/15/2005
NO RESTRICTIONS, FINES OR PENALTIES OF ANY KIND.
HULL TRADING COMPANY PAID A FINE OF $20,000 ON 09/19/1994. $0 WAS LEVIED AGAINST MS. GULOTTA.
CONSENT ORDER AGREEMENT SIGNED NOT TO REAPPLY
FOR REGISTRATION IN SOUTH CAROLINA FOR A 5 YEAR PERIOD.
I AM REGISTERED IN THE STATE OF NORTH CAROLINA
AS OF JUNE 6, 1999
CONSENTED TO THE DESCRIBED SANCTIONS, THEREFORE, CENSURED AND FINED $15,000.
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MR. STULSON CONSENTED TO THE WITHDRAWAL OF HIS REGISTRATION AS A SALES PERSON IN ILLINOIS FOR TWO YEARS, BE
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SIXTY CALENDAR-DAY SUSPENSION FROM ASSOCIATING WITH ANY MEMBER FIRM IN ANY CAPACITY STARTING DECEMBER 10
JULY 5, 2006 ENTERED INTO CONSENT ORDER OF WITHDRAWAL AND WILL NOT REAPPLY FOR A PERIOD OF TWO (2) YEARS.
FINE PAID 03/13/1989 $1250.00
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REPRESENTATIVE SHALL CAUSE TO HAVE HIS REGISTRATION AS A SALESPERSON IN ILLINOIS WITHDRAWN WITHIN 3 DAYS OF
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EXAMINATION FEE OF $266.50 ASSESED. PLUS MONETARY FINE OF $100, TOTALLING $366.50.
FINES AND FEES PAID ON/ABOUT 10/2000.
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VACATED
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SUSPENSION FROM ACTING IN ANY CAPACITY AS AN APPROVED PERSON WITH A PARTICIPATING ORGANIZATION FROM JULY
30 DAY SUSPENSION BEGININNG JAN 14, 1998 UNTIL
FEB 14, 1998 PLUS A $1,000 FINE, WHICH HAS BEEN PAID PLUS
RETESTING OF SERIES 63 TEST WHICH HAS BEEN COMPLETED AND
PASSED.
(A) CENSURE (B) 30 DAY SUSPENSION (C)
RESTITUTION OF $10,000 PAYABLE TO CUSTOMERS, PAYABLE IN AN
INITIAL PAYMENT OF $1,000 PLUS $300 A MONTH UNTIL PAID IN FULL.
CEASE AND DESIST ORDER
- REGISTRATION OF MICHAEL QUIROGA AS AN AGENT IS
GRANTED - RESPONDENT IS HEREBY REPRIMANDED - PAID AN
ADMINISTRATIVE FINE OF $500.00
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, COVLIN CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENT
ON AUG. 9, 1996 AGREED TO PAY $500.00 FINE TO TEXAS DEPT. OF INSURANCE FOR MATERIAL MISSTATEMENT IN THE APPLI
FINED (REFER TO QUESTION 12. A/B FOR DETAILS)
PAID JUNE/JULY 2001
FINE: $20,000 JOINT AND SEVERAL AGAINST THE RESPONDENT AND T. J. RANEY & SONS, INC.
WITHOUT ADMITTING OR DENYING ALLEGATIONS, RESPONDENT MAJOR CONSENTED TO THE DESCRIBED SANCTION AND TO
PAID FINE OF $250 TO STATE OF TEXAS AND WAS
APPROVED TO CONDUCT SECURITIES IN TEXAS AS OF 2/16/99
FINE WAS PAID ON 7/18/06 AND INSURANCE LICENSE WAS REINSTATED.
$10,000 FINE TO BE PAID UPON BILLING; 10 BUSINESS DAY SUSPENSION TBD.
ON 10/20/2008 CONSENT ORDER WAS ISSUED WHICH RESOLVED CD-2008-0021 THAT WAS ISSUED 07/09/2008.
PURSUANT TO NASD RULE 9553, HAZLEWOOD'S REGISTRATION WITH NASD IS SUSPENDED AS OF JUNE 4, 2007. THE SUSPEN
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CIVIL PENALTY PAID UPON EXECUTION OF CONSENT ORDER.
$100 FINE PD
10 DAY SUPENSION FROM SEPTEMBER 2, 2008 THROUGH SEPTEMBER 15, 2008. $5,000 PAYMENT MADE AUGUST 21, 2008.
CANDIDATE WAS SUSPENDED PENDING RETAKING THE BAR EXAMINATION. REINSTATEMENT IS ALLOWABLE, IF THE CANDIDA
WISCONSIN IMPOSED A 31 DAY LICENSE DENIAL AFTER RECEIVING MR.CIERSKI'S INSURANCE LICENSE RENEWAL APPLICATION
$500.00 FINE PAID ON 10/28/1998.
TO COMPLETE WITHIN SIX MONTHS OF THE DATE OF THE DECISION BECOMES FINAL, A COMPLIANCE
COURSE REGARDING FINANCIAL AND OR OPERATIONAL RULES AND REGULATIONS FOR BROKER
DEALERS.
$25000.00 FINE TO BE PAID WITHIN 45 DAYS OF DECISION DATE.
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LICENSE REVOKED AND RESTRICTED LICENSE ISSUED SUBJECT TO REVIEW AFTER A PERIOD OF 2
YEARS. MONTARY PENALTY OF
$100.00
NO FELONY, NO MISDEMEANOR, NO PENALTIES, NO
FINES, NO PAYMENTS, NO SUSPENSIONS NO RETRICTIONS. THE ORDER
ENTERED LIFTS AND REMOVES THE CEASE AND DESIST ORDER. MR
GREGORY CLARK IS NOW REGISTERED WITH THE STATE OF ALABAMA
SECURITIES COMMISSION.
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THE STATE OF ILLINOIS HAS CONSENTED TO HAVE MR. TSIKITAS TO WITHDRAW FROM REGISTRATION FOR PERIOD OF 2 YEAR
MR. ROVNER CONCENTED TO AN (AWC) ON 12/20/2005 IN WHICH HE WAS FINED $10,000.00 AND SUSPENDED FOR 30 DAYS
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REPRESENTATIVE PAID ADDRESS CHANGE VIOLATION FEE OF $50.00 ON APRIL 28, 2008 TO THE ALABAMA DEPARTMENT OF I
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THE FINE WAS $50.00 AND IT WAS PAID IN IT'S ENTIRETY ON 11/07/2007.
CENSURE AND FINE OF $75,000.00
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THIRTY (30) CALANDER DAY SUSPENSION IN A PRINCIPAL (GENERAL SECURITIES PRINCIPAL)
CAPACITY.
$15,000 FINE.
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FINAL
A FINE OF $5,000 WOULD BE IMPOSED ON MR. MANSUR UPON NOTICE THAT THE ACCEPTANCE, WAIVER AND CONSENT LETT
##################################################################################
SUSPENDED FROM ACTING IN A PRINCIPAL CAPACITY FROM AUGUST 20, 2007 TO OCTOBER 18, 2007.
DENIAL
SIGNED A CONSENT ORDER NOT REAPPLY FOR
REGISTRATION FOR 30 DAYS
REPRESENTATIVE AGREED TO IMMEDIATELY CEASE AND DESIST FROM ANY AND ALL VIOLATIONS OF CHAPTER 517, FLORIDA
REVOCATION
COMMISSIONER ORDERED A 1000.00 FINE, CEASE & DESIST AND 6MO PROBATION.
ON SEPTEMBER 7, 2001 MR. FARAG'S REGISTRATION WAS DENIED DUE TO THE LACK OF PROVIDING THE STATE OF WISCONS
1) ORDER OF CENSURE (REPRIMAND), 2) REPRESENTATIVE AGREES TO TIMELY NOTIFY THE INSURANCE COMMISSIONER OF A
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NINE-WEEK SUSPENSION FROM MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS, AND FROM EMPLOYMENT
THE $7500.00 FINE WAS PAID ON FEBRUARY 3, 2006.
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N/A
THE FINE WAS PAID ON 2/22/06.
DAVE MULLENAX SHALL BE PERMITTED TO APPLY FOR REGISTRATION WITH AN ARKANSAS REGISTERED BROKER-DEALER THA
N/A
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250 FINE.
MONTETARY/FINE OF $50
250 FINE.
100.00 FINE
CIVIL PENALTY TO BE MET BY 10/15/2006.
CONTRIBUTION TO INVESTOR EDUCATION FUND DUE BY 07/15/2006.
INSTRUCTIONAL CLASSES TO BE COMPLETED BY WITHIN 6 MONTHS OF ORDER (11/25/2006)
##################################################################################
DENIAL OF REQUEST FOR SECURITIES AGENT REGISTRATION
I RELINQUISHED MY BAR MEMEBERSHIP - THIS OFFICIALLY BECAME A SUSPENSION OF LICENSE DUE TO NON PAYMENT OF DU
##################################################################################
CENSURE
A FINE OF $15,000 PAYABLE JOINT AND SEVERALLY WITH ARVEST.
INSURANCE LICENSE WAS REVOKED UNTIL MISSOURI DEPARTMENT OF REVENUE CERTIFIED ON 09/01/2004 THAT REPRESEN
INVESTMENT ADVISER APPLICATION DENIED
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RESPONDENT WILL WITHDRAW REGISTRATION AS A SALEPERSON IN THE STATE OF ILLINOIS AND WILL NOT RE-APPLY FOR RE
PLACED ON PROBATION FOR ONE YEAR FROM THE START OF THE ORDER.
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$500.00 FINE PAID 04-16-2001
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60 DAY SUSPENSION AND A FINE OF $300000 SHARED BETWEEN ALEX, ROD GRAVES, AND HENRY GODBEE III. SUSPENSION B
##################################################################################
INVESTMENT ADVISER CERTIFICATE SUMMARILY REVOKED FOR NON-PAYMENT OF RENEWAL FEE.
CEASE & DESIST FROM ANY & ALL VIOLATIONS OF CHAPTER 517, PAY AN ADMINISTRATIVE FINE OF $5000. REGISTRATION AG
REQUIRED REGISTRATION AGREEMENT WITH MORGAN STANLEY & CO. INCORPORATED
RESPONDANT WAS ASSESSED AN ADMINISTRATIVE FINE OF $3000 AS NOTED ABOVE.
A $9000 FINE, AS NOTED ABOVE, WAS LEVIED AND PAID IN SEPTEMBER 2007.
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SUSPENDED INDEFINITELY IN ALL CAPACITIES UNTIL THE INFORMATION REQUESTED CONCERNING THE CRIMINAL CONVICTIO
MR. RIBICH'S APPLICATION FOR A STATE OF WISCONSIN INSURANCE LICENSE WAS DENIED FOR FAILURE TO PROVIDE INFORM
MR. BARKSDALE WAS ACTING AS A SERIES 7 REGISTERED REP AND WILL CONTINUE IN THAT CAPACITY FOLLOWING THE 31 CA
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WITHDRAW HIS SECURITIES REGISTRATION IN MONTANA AND TO NOT APPLY FOR SECURITIES LICENSING FOR A PERIOD OF T
VOLUNTARY REVOCATION-INDEFINITE I MAY REAPPLY AND REINSTATE MY LICENSE AT ANY TIME, SHOWING EVIDENCE OF CO
I AM UNAWARE OF THE DATE THE SUSPENSION OCCURRED. I AM UNAWARE THAT THE SUSPENSION IMPACTED ME IN ANY W
THE FINE OF $10,000.00 WILL BE PAID.
JOINT AND SEVERAL FINE OF $5,000 OF JOHNSON TRADING AND MYSELF.
WITHOUT ADMITTING OR DENYING THE FINDINGS, RESPONDENT CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE E
ORDER OF DENIAL
INITIAL LICENSE APPLICATION WAS DENIED FOR FAILURE TO PROVIDE INFORMATION.
THE STATE OF ALABAMA ASSESSED ME A $250 FINE TO COVER FEES AND EXPENSES AND WAS PAID 1/8/2008. MY LICENSE W
MY INTERMEDIARY LICENSE WAS DENIED FOR A PERIOD OF 31 DAYS UNTIL JANUARY 18TH, 2008 AT WHICH POINT MY LIFE/V
A $750 FINE WAS LEVIED AGAINST ME FOR INCORRECTLY FILLING OUT MY INITIAL LICENSE APPLICATION, TO BE PAID WITHIN
A FINE OF $175 WAS PAID ON 2/20/2009 TO SATISFY THE ONLY REQUIREMENT OF THIS SETTLEMENT. THERE WAS NO OTHER
PROHIBITION ONLY. HEARING PENDING
ORDER WAS VACATED
A $500 FINE WAS LEVIED, PAID IN FULL. WASHINGTON DOI RECEIVED THE PAYMENT ON 1/13/06.
I DO NOT BELIEVE THERE WAS ANY MONETARY FINE FOR THE CENSURE. I WAS NOT SUSPENDED OR FORCED TO TAKE A REQU
REGISTRATION DENIED.
$50.00 PAID BY KAPLAN ON MY BEHALF, UNAWARE OF EXACT DATE.
##################################################################################
SEE RESPONSE TO ITEM 13B
A FINE OF $50.00 WAS ORDERED TO BE PAID, AND WAS PAID BY KAPLAN FINANCIAL
FAILURE TO FULFILL REQUIRED CONTINUING EDUCATION REQUIREMENTS AUTOMATICALLY RESULTS IN SUSPENSION OF LAW
SUSPENDED UNTIL PAYMENT IS RECEIVED.
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FINE WAS 250.00. PAID IN FULL APRIL 2003.
LATE FILING OF INSURANCE AGENT LICENSE RENEWAL STATE TOOK FORMAL ACTION AND FINE PAID OUT OF CORPORATE AC
ONE YEAR PROBATION
TEMPORARY SUSPENSION FROM PRACTICE OF LAW IN PENNSYLVANIA EFFECTIVE FROM 02/14/2008 TO 09/17/2008. APPLIC
cmmnt
I ACCEPTED A $5,000 FINE AND A TWO WEEK
SUSPENSION WITHOUT ADMITTING OR DENYING THE ALLEGATIONS. I WAS
UNAWARE OF THE REQUIREMENT TO REPORT THE OUSIDE BUSINESS
ACTIVITY TO MY BROKER-DEALER.
THE NASD EXAMINER QUESTIONED ME . I ADMITTED THE
FACT THAT I PAID THE CUSTOMER BILL FOR THE PURCHASE OF OPTIONS.
I AGREED THAT IT WAS WRONG AND THAT I WOULD PAY AND FINE OF
$250- AND BE CENSURED SEE ATTACHED SHEET.
##################################################################################
SEE ATTACHED CBOE LETTER OF CONSENT "PAGE 2"
(FILE NO. 90-0021) PAGE 3 OF FORM U-4 SUBMITTED 7-19-90
NOT PROVIDED
BY 2002, MR. SCARBOROUGH AND ROYAL ALLIANCE HAD ADDRESSED THE ISSUES OF CONCERN EXPRESSED BY THE SEC. WITH
##################################################################################
MISTAKE IN COMPLETING THE ACCOUNT FORM. TECHNICAL OVERSIGHT.
##################################################################################
PAYMENT OF $2,500.00 WAS MADE ON 03/31/93
RESPONDENT AGREES THAT HE WILL NOT OFFER FOR SALE OR SELL SECURITIES FROM WITHIN THE STATE OF TEXAS OR TO A
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BE CENSURED.
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Not Provided
Not Provided
##################################################################################
MY ACTION IN ANSWERING THE QUESTION ON THE LICENSING APPLICATION WAS INADVERTANT AND UNINTENTIONAL. THE
RENEWAL FEE NOT PAID DUE TO LACK OF NOTIFICATION.
FEE PAID IMMEDIATELY UPON NOTIFICATION OF NON-PAYMENT.
MR. EVANS ENTERED INTO A LETTER OF ACCEPTANCE, WAIVER AND CONSENT WITHOUT ADMITTING OR DENYING THE ALLEG
BEL CONSENTED TO THE FINING OF THE ALLEGATIONS AND TOT HE FOLLOWING SANCTIONS: FINED $5,000.00
BEL CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: FINED $5,000.00, JOINTLY AND SEVERALLY
FORMER CLIENT ASSERTED COMPLAINT IN MUTUAL FUND PRODUCTS. IT WAS SETTLED $5000 FINE, 10 DAY SUSPENSION, AN
##################################################################################
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Not Provided
Not Provided
Not Provided
FINAL STATUS - VACATED AND WITHDRAWN AGAINST ASSOCIATED PERSONS. THE STATE WITHDREW ITS CASE AFTER AN INV
NOT PROVIDED
I DO NOT RECALL THE DETAILS OF THIS ACTION. APPERENTLY I WAS SUSPENDED AS A REGISTERED REP. IN 10/1968 THE SUSP
##################################################################################
Not Provided
ATTACHED IS A COPY OF THE LETTER OF ACCEPTANCE,
WAIVER AND CONSENT (NY-9062)
THE SUPERVISORY VIOLATION OCCURED WHILE I WAS ON
VACATION AND I MISUNDERSTOOD THE QUESTION ON THE MEMBERSHIP
CONTINUANCE APPLICATION.
JANSSEN-MEYERS ASSOCIATES LP AND BRUCE MEYERS WERE HELD JOINTLY AND SEVERALLY LIABLE FOR THE $10,000 FINE PO
Not Provided
NOT PROVIDED
NOT PROVIDED
EES NOT TO APPLY FOR AGENT REGISTRATIJON IN NJ ON IN NJ UNTIL OCTOBER 1, 1995. AS PART OF APPLICATION, EMPLOYING BD MUST
Not Provided
ACCOUNTING FOR COMMISSIONS RECEVIABLE WAS ERRONEOUSLY CALCULATED WITH OFFSETTING PAYABLE RESULTING IN A
MCL AND GARY FLATER WERE CENSURED AND FINED FOR LACK OF SUPERVISION WITH RESPECT TO A FORMER REGISTERED R
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NASD REGULATION ACCEPTED AND EXECUTED THE ACCEPTANCE, WAIVER AND CONSENT.
##################################################################################
THE STATE OF WYOMING INVESTIGATED THIS EVENT
PRIOR TO THE NASD AND FOUND NO FAULT ON MY PART. I DO NOT AGREE
WITH THE NASD DECISION, BUT I HAVE ALREADY SPENT THOUSANDS OF
DOLLARS FOR THE HEARINGS AND NEED TO MOVE ON WITH MY LIFE.
THE ALLEGATIONS ARISE FROM AN UNFORESEEABLE COLLAPSE OF THE ARS MARKET IN FEBRUARY 2008 AND ARE DENIED, ON
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"IN LATE 1984, I WAS CONTACTED BY THE NASD TO SETTLE THIS MATTER. I WAS GIVEN THE OPTION
OF PAYING A FINE OF $500.00 OR APPEALING THE DECISION. I CHOSE TO PAY THE FINE AND AT THAT
TIME I WOULD BE FINISHED WITH THIS
PROBLEM, OR SO I WAS TOLD."
WITHOUT ADMITTING ANY WRONGDOING, THE AGENT, MR. SANFORD, AND THE DEALER, K.W. CHAMBERS & CO., AGREED T
IS OFFER OF SETTLEMENT TO THE COMMISSION WHICH WAS ACCEPTED. $500.00 PAID ON OR ABOUT 12/05/2007 AND PAPERS PLACED I
S CONSENT ORDER TO RESOLVE THE MATTER AND AGREED TO PAY A FINE OF $300 WHICH WAS PAID ON OR ABOUT 4/29/2008.
Not Provided
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NOT PROVIDED
WAS TOLD BROKERS WERE CLEARED, THEY ACCEPTED
ORDERS AND WERE NOT CLEARED.
##################################################################################
TEJAS SECURITIES GROUP, INC. PAID 0N 7/27/04.
Not Provided
THIS WAS DENIED WHILE I WAS IN THE EMPLOYMENT OF
SHEARSON. SHEARSON'S REGISTRATION DEPARTMENT REQUESTED MY
APPLICATION, BUT I HAD NO INTENTION OF DOING BUSINESS THERE.
I APPLIED FOR REGISTRATION IN ALABAMA IN 1994 AND
WAS DENIED FOR FELONY CONVICTION I DO NOT INTEND TO DO BUSINESS
IN THE STATE OF ALABAMA OR REAPPLY FOR REGISTRATION.
FINE 250.00 AND ONE YEAR PROBATION
THIS COMPLAINT WAS FILED IN CONNECTION WITH THE
FARUGIA ARBITRATION
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THE NEW YORK RENEWAL APPLICATION STATES "HAVE YOU BEEN FINED" THIS WAS INTERPRETED AS A SETTLEMENT, NOT A
##################################################################################
I PROVED THE NASD WITH CT. DOCUMENTS FOR THIS
ITEM IN 1991. I WAS INFORMED AT THAT TIME THAT THIS WAS A
`NON-DISCLOSURABLE` ITEM ON ANY FORM.
Not Provided
Not Provided
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PRESLEY WAS CENSURED AND FINED IN NASD
COMPLAINT #NEW-463-AWC.
ON 10/12/84, PRESLEY WAS FINED BY THE NASD.
NOT PROVIDED
THE ALLEGED VIOLATIONS OCCURED OVER A FOUR YEAR PERIOD FROM 1996 THROUGH 1999.UPDATED PROCEDURES HAVE
SUANCE OF THE CONSENT ORDER.
CUSTOMER COMPLAINT WAS DISMISSED.
NOT PROVIDED
##################################################################################
SEE ATTACHED
COPY OF WRITTEN EXPLANATION RECEIVED (002459 21489).
DATES OF THE SUSPENSION ARE: APRIL 16, 2001 THROUGH APRIL 25, 2001.
THIS MATTER IS PREMISED SOLEY ON THE PREVIOUS NASD SUSPENSION AND NOT UPON PROOF
OF ANY VIOLATION OF THE ILLINOIS SECURITIES ACT.
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SOUTHTRUST BANK ESTABLISHED A SECTION 20-SUB. IN
SETTING THE FIRM UP, WE WERE INITIALLY TOLD THAT MY POSITION
WOULD NOT REQUIRE A PRINCIPALS LICENSE WITH NASD, BUT ON 1ST
AUDIT IT WAS DETERMINED I SHOULD HAVE A S-24.
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CORRECTIONS TO NASDR RR DISCLOSURE
ROSTER-SEQUENT: AFFIRMATIVE RESPONSES SHOULD BE ONLY 22F2.
UNDER SANCTION IT SHOULD BE CHANGED TO INDICATE THAT I DID NOT
PAY THE FINE. IT WAS PAID BY BOATMANS BANK IN EXCHANGE FOR ME
SIGNING THE CONSENT ORDER.
NOT PROVIDED
THIS DRP IS TO UPDATE ALL INFORMATION LISTED ON
OCCURANCE 1, INCIDENT Y4 & INCIDENT #8 RECORDS 1 & 2.
STATE OF ILLINOIS COMPLETELY ABSOLVED ME OF ANY
VIOLATION
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NOT PROVIDED
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Not Provided
##################################################################################
MR. HALBERT AGREED TO SETTLE WITH FINRA AND PAY A JOINT AND SEVERAL FINE WITH [THIRD PARTY] OF $7,500.00 FOR V
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Not Provided
Not Provided
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5 AND ENDING NOVEMBER 17 2005 REQUALIFY BEFORE ASSUMING ROLE OF SUPERVISOR. FINED $25,000 ALSO FINED $40,000 JOINT AN
FAILURE TO SUPERVISE TRADING ACTIVITY.
Not Provided
##################################################################################
##################################################################################
I INADVERTANTLY OMITTED THE DISCLOSURE OF AN ARREST ON MY INSURANCE AGENT APPOINTMENT APPLICATIONS. I THO
Not Provided
NOT PROVIDED
CLUDE AT THE CLOSE OF BUSINESS ON 11/03/2000.
OUR COMPLIANCE DEPT NOTIFIED ME MY LICENSE WAS
APPROVED WHEN IT WAS NOT AND I DID SEVERAL UNSOLICITED TRADES
BEFORE I WAS INFORMED OTHERWISE
WE WERE WRITTEN UP ON OUR L986 TEST IN THE AMOUNT OF $1,000.00
##################################################################################
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ONEY PENALTY IN THE AMOUNT OF $200,000.OO. SUSPENSION IN ANY SUPERVISORY CAPACTIY FOR A PERIOD OF 12 MONTHS.
THE DECISION IS NOW FINAL AND BECAME EFFECTIVE AT THE CLOSE OF BUSINESS ON OCTOBER 29, 2004.
SEE NASD OFFER OF SETTLEMENT DOCUMENT ATTACHED. SEE INCIDENT #4.
##################################################################################
THE RESPONDENTS STATEMENT OF MITIGATING
CIRCUMSTANCES, FILED WITH THEIR OFFER OF SETTLEMENT, STATED
THAT ANY VIOLATION WAS STRICTLY INADVERTENT.
##################################################################################
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Not Provided
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Not Provided
THIS MATTER WAS RESOLVED AS A RESULT OF AN OFFER OF SETTLEMENT BY MR. OKIN, WITHOUT ADMITTING OR DENYING T
REQUEST FOR REGISTRATION APPROVED SUBJECT TO
SPECIAL SUPERVISORY PROCEDURES
N/A
##################################################################################
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Not Provided
RICK BLANK WITHOUT ADMITTING OR DENYING THE ABOVE
ALLEGATIONS, ACCEPTS & CONSENTS TO THE FINDINGS OF THE
ASSOCIATION.
EXECUTED - LETTER OF ACCEPTANCE WAIVER & CONSENT. A CENSURE AND MONETARY FINE IN THE AMOUNT OF $10,000 FO
UNE 16TH AND TO CONCLUDE 30 CALENDAR DAYS LATER AT THE CLOSE OF BUSINESS TUESDAY JULY 15TH 2003.
I WAS SUSPENDED FROM PRACTICING LAW IN KANSAS ON 8/4/200 BECAUSE I DID NOT COMPLETE THE CLE REQUIREMENTS.
##################################################################################
QUESTION 22I WAS MARKED "YES" IN ERROR.
Not Provided
Not Provided
N, JOINTLY AND SEVERALLY.
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RVISORY CAPACITY FOR A PERIOD OF 30 CALENDAR DAYS BEGINNING FEBRUARY 6, 2006 THROUGH MARCH 7, 2006.
Not Provided
RUSHMORE SECURITES PAID $2500.00 FINE ON BEHALF OF CLARK AND RUSHMORE.
##################################################################################
Not Provided
THE NYSE AND MR. MEMMOTT ENTERED INTO A STIPULATION OF FACTS AND CONSENT TO PENALTY WHERE MR. MEMMOTT
##################################################################################
QUESTION 22F(1) WAS ANSWERED "YES" IN ERROR.
##################################################################################
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Not Provided
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Not Provided
Not Provided
Not Provided
FBW (BD AND IA) WILL BE MONITORING MR. BOGART'S ACTIVITIES FOR A MINIMUM PERIOD OF 12 MONTHS.
##################################################################################
THE TRADES IN QUESTION WERE DONE SOLEY FOR THE
PURPOSE OF CREATING A PORFIT IN THE CLIENT'S ACCOUNT, WHICH IT
DID. HOWEVER, I DO REALIZE THAT THE UNAUTHORIZED TRADES WERE
CLEARLY, WRONG NOT WITHSTANDING GOOD INTENTIONS.
RIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE HE IS CENSURED AND FINED $13,000.
##################################################################################
MADE COMMISSION PAYMENTS TO A PERSON WHO I
THOUGHT WAS REGISTERED BUT WHO WAS IN FACT ONLY REGISTERED FOR
ONLY PART OF THE PERIOD OF PAYMENTS.
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BD TAKES FULL RESPONSIBILITY FOR THE OVERSIGHT TO REGISTER LEE. BD ACCEPTS THAT THIS WAS A BD RESPONSIBILITY AN
##################################################################################
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SUSPENSION OF PRINCIPAL CAPACITIES FOR THIRTY (30) BUSINESS DAYS AND $5,000 FINE TO NASD
##################################################################################
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A LISTING OF CORRECTIVE ACTION AND OTHER INFORMATION EXPLAINING THE CIRCUMSTANCES
WERE SUBMITTED TO NASD
IN 8/96. SEE THOSE DOCUMENTS FOR FURTHER INFO.
##################################################################################
CHECKS WERE ISSUED TO THE 9 TEXAS CLIENTS ON 3/2/2004 THE TOTAL OF THE CHECKS ISSUED WAS $26,715.96.
##################################################################################
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AS PRESIDENT OF THE FIRM I WAS NAMED HEREIN,
HOWEVER I DID NOT INITIATE OR EXECUTE ANY OF THE TRANSACTIONS.
SEE DISCLOSURE IN ITEM #6 ON U-5 TERMINATION FROM SMITH BARNEY
##################################################################################
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NOT PROVIDED
Not Provided
Not Provided
Not Provided
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PROVIDED ON AMENDED DRP DATED MARCH 13, 1995
ALL ALLEGED VIOLATIONS PERTAINED TO THE MINIMUM
SALES REPRESENTATIONS IN A DIRECT PARTICIPATION PROGRAM
OFFERING AND ATTENDANT ESCROW ARRANGEMENTS.
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NOT PROVIDED
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NOT PROVIDED
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Not Provided
Not Provided
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Not Provided
Not Provided
AWC
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THE CUSTOMER CONFIRMED THAT THE FINANCIAL
CONSULTANT RECEIVED ORAL DISCRETIONARY AUTHORITY, BUT THE FACT
THAT WRITTEN AUTHORITY HAD NOT BEEN RECEIVED RESULTED IN
DISCIPLINARY ACTION BY THE NYSE.
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MATTER WAS UNCONTESTED. INDIVIDUAL COMPLETED REQUIREMENT PROMPTLY AFTER BEING NOTIFIED.
DUE TO CHANGE IN MAILING THE AMEX CORRESPONDENCE
DID NOT GET FORWARDED. AS SOON AS I FOUND OUT, I PAID THE FINE PROMPTLY.
GEORGE JUEY ELEVATED A REQUEST RECIEVED VIA US
MAIL INTO THE BRANCH TO ANY INTENRAL INVESTIGATION. IN ORDER TO RESOLVE THIS MATTER
AFTER 3+ YEARS. TO THE ATTACHED FINDING AND DISCLOSURE ON 4-25-98. NOT FOLLOW-UP
LETTER FROM AMEX
DATED 5-19-93.
Not Provided
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NOTICE OF HEARING ISSUED AND THE HEARING IS SCHEDULED FOR MARCH 23, 2005.
LETTER OR WAIVER AND CONSENT FOR WHICH PENDING ACTION CENSURED AND FINED
##################################################################################
Not Provided
ACCURATELY FIRM FAILED TO APPLY A CONTRACTUAL
COMMITTMENT HAIRCUT TO THE UNDERWRITING OF QUIZNO'S CORP. I
ACTED AS PRINCIPAL FOR THE FIRM.
THE ERROR WAS DISCOVERED DURING A ROUTINE AUDIT
AND HAD BEEN CORRECTED.
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6/20/2002-THE DECISION IS NOW FINAL AND EFFECTIVE IMMEDIATELY.
THE FACTS WHICH FORMED THE BASIS FOR THIS COMPLAINT INDICATED THAT I WAS NOT THE PROXIMATE CAUSE OF THE AC
##################################################################################
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Not Provided
Not Provided
THIS ACTIVITY IS A PART OF MY PRESENT RECORDS AND
HAS BEEN SINCE MY INITIAL SECURITIES LICENSING.
.
I WAS HELPING MY HUSBAND OUT WITH THE OFFICE
CLERICAL DUTIES AND ANSWERING PHONES. I LEARNED A LOT FROM THE
NASD AUDIT, AS TO WHAT THE RULES AND REGULATIONS ARE.
THE ORDER SEEKING REVOCATION FOR LACK OF GOOD BUSINESS REPUTE PURSUANT TO ORC 1707.19 WAS TERMINATED UP
##################################################################################
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Not Provided
NOT PROVIDED
NOT ADMIT OR DENY THAT CBOE RULES HAD BEEN VIOLATED. THE SANCTION WAS A CENSURE AND $3,500 FINE.
##################################################################################
Not Provided
NONE
Not Provided
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Not Provided
NOT PROVIDED
Not Provided
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ID ON 9/27/01.
Not Provided
NEITHER ADMITTED NOR DENIED ALLEGATIONS SET FORTH
IN SETTLEMENT DOCUMENTS. WILL COMPLY WITH CONSULTANT'S
RECOMMENDATIONS FOR STRENGTHENING SUPERVISORY CHAIN AND
STRUCTURE.
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Not Provided
NASD CENSURE AND FINE NO 11950019 PAYABLE JOINTLY
BY RAYMOND GRENIER AND DELTA EQUITY SERVICE CORP.
##################################################################################
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I SIGNED A BENEFICIARY FORM AS WITNESS WITHOUT SEEING THE OTHER SIGNATURE. I WAS FINED $150.00 BY THE INDIANA
Not Provided
I ALWAYS ASSUMED FULL FINANCIAL RESPONSIBILITY
FOR ANY TRADING LOSSES WHICH RESULTED TO THE FIRM FROM THIS
ACTIVITY. THE BCC DID NOT FIND THAT I INTENDED TO DEFRAUD
BRIDGE. NONE OF THE TRADING INVOLVED CUSTOMER ACCOUNTS.
Not Provided
FAILURE TO DISCLOSE WAS ADMINISTRATIVE OVERSIGHT. NO CUSTOMER INJURY ALLEGED OR FOUND. RESTRICTIONS WERE
THE ACTS WERE TAKEN WITH THE CLIENT'S KNOWLEDGE. MARYLAND FOUND NO MALICIOUS INTENT OR FRAUDULENT PURP
THIS OMISSION WAS AN ADMINISTRATIVE OVERSIGHT ON THE RENEWAL APPLICATION REGARDING QUESTIONS REGARDING
IN VIRGINIA, ALL CONDITIONAL REGISTRATIONS ARE REQUIRED TO BE DONE BY ORDER, THIS ORDER IS NOT A RESULT OF NEW
HAMPSHIRE ON JULY 27, 2005.
IN MASSACHUSETT, ALL CONDITIONAL REGISTRATIONS ARE REQUIRED TO BE DONE BY ORDER. THIS ORDER IS NOT A RESULT
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NOT PROVIDED
DUE TO AN UNINTENTIONAL ERROR BY KEVIN CALANDRO'S BROKER DEALER, SMH CAPITAL INC., KEVIN CALANDRO WAS NOT
##################################################################################
NOT PROVIDED
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NOT PROVIDED
9a. What firm did the transaction take place? PAINEWEBBER
VIOLATED THE PRIVATE SECURITIES RULE WAS SUSPENDED, FINED AND HAVE TO RETAKE EXAMS
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NOT PROVIDED
THIS AMENDMENT WAS ENTERED DUE TO THE FACT THAT 23E(3)WAS
ANSWERED IN ERROR. 23E(3) SHOULD HAVE BEEN ANSWERED "NO".
A COPY OF THE SENTRA SECURITIES AFFIDAVIT IS
ATTACHED EXPLAINING THE BOARD OF DIRECTORS UNDERSTANDING OF THE
EVENTS.
ALTHOUGH MR. SHANAHAN ENGAGED IN A SIGNIFICANT
AMOUNT OF CONTINUING EDUCATION ACTIVITIES IN 1996 AND 1997,
THESE ACTIVITIES WERE NOT UNDERTAKEN PURSUANT TO A WRITTEN
EVALUATION AND TRAINING PLAN, AS REQUIRED BY THE NASD'S
CONTINUING EDUCATION RULES.
A TECHNICAL VIOLATION OF SEC RULE 15C3-1 OCCURRED
ON JUNE 30, 1994 DUE DIFFRENCES BETWEEN CFS AND NASD STAFF
COMPUTING OF NET CAPITAL. WHEN FINANL NASD POSITION WAS MADE
KNOWN TO CFS ADDITIONAL CAPITAL WAS ADDED TO BRING THE FIRM
INTO FULL COMPLIANCE.
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RIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE HE IS CENSURED AND FINED $10,000, JOINTLY AND SEVERALLY.
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NOT PROVIDED
Not Provided
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SINCE THIS INCIDENT THE STATE AGREED TO ISSUE A L/H LICENSE. RON HAS NEVER HAD ANY NEGATIVE SERCURITIES OR INVE
SINCE THIS INCIDENT, THE STATE AGREED TO ISSUE L/H LICENSES. RON HAS NEVER HAD ANY NEGATIVE SECURITIES OR INVES
THE ORDER OF REVOCATION WAS THE RESULT OF PERSONAL FAMILY MATTERS AT THE TIME OF RENEWAL. IT IN NO WAY AF
Not Provided
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Not Provided
GRAHAM). NO PORTION OF THE PENALTY WAS WAIVED.
##################################################################################
CORRECTION TO NASDR RR DISCLOSURE ROSTER-SEQUENT:
AFFIRMATIVE RESPONSES SHOULD BE ONLY 22F2. UNDER SANCTIONS IT
SHOULD BE CHANGED TO INDICATE THAT I DID NOT PAY THE FINE. IT
WAS PAID BY BOATMANS BANK.
NOT PROVIDED
NOT PROVIDED
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SEE ATTACHED FORMS FROM STATE OF WISCONSIN
NOT PROVIDED
Not Provided
Not Provided
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DECISION AND ORDER OF ACCEPTANCE WAS ARRIVED TO
THE AGREEMENT OF ALL PARTIES INVOLVED WITHOUT ADMITTING GUILT
OR DENYING GUILT OF ALL INVOLVED, WITHOUT ANY FORMAL HEARING.
D AND FINED $2,500. THE DECISION IS FINAL SEPTEMBER 7, 2006.
I DECIDED TO CEASE TO PRACTICE OF LAW. I QUIT
PAYING BAR DUES.
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IN OUR RESPONSE TO THE ALLEGATIONS WE PROVIDED
FOUR (4) SEPARATE EXEMPTIONS THAT EXEMPTED MYSELF AND SUNDANCE
RESOURCES FROM OFFERING A SECURITY IN AN INSOLATED CASE VERMONT
DID NOT AGREE
$60,000 WAS DUE TO ERROR IN ACCOUNT. $60,000 PAID BY FIRM. NO INDIVIDUAL CONTRIBUTION TO SETTLEMENT
Not Provided
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I HAD NO KNOWLEDGE OR CONTROL OF THE REGISTRATION
STATUS OF THE FIRM. MY NEW JERSEY REGISTRATION WAS, AND STILL
IS, IN FULL EFFECT.
##################################################################################
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NOT PROVIDED
Not Provided
RIOD OF 10 DAYS. START DATE OF SUSPENSION NOT YET DETERMINED BY NASD STAFF.
SEE ATTACHED AGREEMENT.
Not Provided
##################################################################################
NOT PROVIDED
NOT PROVIDED
MY AGENT LICENSE WAS SUSPENDED DUE TO NON-PAYMENT OF AGENT LICENSING FEES. JOSEPHTHAL LYON & ROSS DID NO
Not Provided
ACCEPTED AND CONSENTED TO FINDINGS--WITHOUT
ADMITTING OR DENYING ALLEGATIONS--AND PENALTIES NOTED ABOVE.
Not Provided
NO COMPLAINT WAS FILED AND WITHOUT ADMITTING OR
DENYING THE ALLEGATIONS APPLICANT CONSENTED TO AN ORDER IMPOSING
SANCTIONS.
***COPY OF CONSENT ORDER REC'D (003796 00890).
AWC LETTER WAS SIGNED BY KELLY WITHOUT ADMITTING
LIABILITY IN SETTLEMENT OF ALLEGATIONS BY NASD AS TO FAILURE TO
FOLLOW INTERNAL PROCEDURES FOR PRE-APPROVAL OF CERTAIN TRADES.
##################################################################################
THE DIVISION'S ALLEGATIONS RELATED TO EVENTS THAT
OCCURRED DURING MY FIRST MONTH IN MY FIRST JOB IN THE SECURITIES
BUSINESS. WHEN I RELIED FULLY UPON MY FIRM'S PRINCIPAL TO ADVISE
ME REGARDING MY REGISTRATIONS AND ACTIVITIES.
FINAL
FINAL - MATTER RESOLVED ON 5/17/90
D MEMBER FIRM IN ANY CAPACITY FOR A PERIOD OF TWENTY FIVE CALENDAR DAYS. SUSPENSION DATES 4/19/04 THRU 5/13/04.
Not Provided
Not Provided
##################################################################################
L, AND PAID BY THE FIRM.
TIVE ASSESSMENT,$500.00 REIMBURSEMENT FOR ALABAMA SECURITIES COMMISSON INVESTIGATION.
1 YEAR FROM 5/2/2005 THROUGH 5/1/2006
PRINCIPAL ACTED AS FINOP WITHOUT SERIES 27 LICENSE AND WAS FINED $6500.00. THE OTHER $3000.00 WAS CHARGED TO
##################################################################################
SEE ITEM 8C.
ORDER VACATING SUMMARY ORDER OF DENIAL WAS ISSUED ON SEPTEMBER 11, 2003.
N/A
##################################################################################
Not Provided
PENDING APPROVAL BY NASD DEPARTMENT OF ENFORCEMENT AND OFFICE OF DISCIPLINARY AFFAIRS.
Not Provided
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NOT PROVIDED
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Not Provided
NOT PROVIDED
Not Provided
Not Provided
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THE FINAL DISPOSITION OF THE MATTER FOUND NO WRONG DOING OR VIOLATIONS OF INVESTMENT RELATED REGULATION
NASDR DETERMINED ENTRY OF A SELECNET TEXT MESSAGE WAS AN INAPPOPRIATE USE OF A NASDAQ SYSTEM.
Not Provided
S UNIT #2 WELL AND THAT PROJECT HAS BEEN FULLY FUNDED MORE THAN A YEAR AGO. THERE WERE NO CALIFORNIA INVESTORS ON TH
##################################################################################
THE STATE OF INDIANA MISTAKENLY LISTED JOHN
GUYETTE AS A COMPLIANCE OFFICER OF GILBERT MARSHALL & CO MR.
GUYETTE HAD NO ACCESS, CONTROL OR SUPERVISORY RESPONSIBLITIES
OVER THE ACCOUNT IN QUESTION.
I UNKNOWINGLY PURCHASED THIS I.P.O. I THOUGHT
THIS STOCK WAS TRADED ON THE STREET BECAUSE IT SHOWED UP ON MY
QUOTRON SCREEN. STOCK BROKER DID NOT PROVIDE ME A RED HERRING,
NEVER INDICATED IT WAS AS I.P.O. I CLOSED THE ACCOUNT 5 DAYS
AFTER OPENING IT.
PRINCE WAS ACTING AT THE DIRECTION OF HIS
SUPERVISOR AT PRUDENTIAL. HE DID EVERYTHING HE FELT HE HAD THE
POWER TO DO TO STOP THIS ACTIVITY.
Not Provided
IN REFERENCE TO ITEM NO. 10 ABOVE; THE MATTER WAS RESOLVED THROUGH A FINAL ADMINISTRATIVE ORDER.
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Not Provided
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Not Provided
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SCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS CENSURED AND FINED $7,500 JOINTLY AND SEVERALLY.
ION UPON SUBMISSION OF FORMS FOR CONTINUING EDUCATION.
I ENTERED INTO THE SETTLEMENT WITH NASD IN ORDER
TO EXPEDITIOUSLY RESOLVE THE MATTER AND AVOID THE COSTS AND
UNCERTAINTIES RELATED TO PROTRACTED LITIGATION. IN AGREEING TO
THE SANCTION; I DID SO WITHOUT ADMITTING OR DENYING THE
ALLEGATIONS.
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THE MARKET SURVEILLANCE COMMITTEE REJECTED THE
CONTENTION THAT SHRYACK ACTED TO DEFRAUD CUSTOMERS. CASE
CLOSED
Not Provided
THE ORDER WAS SIGNED.
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RECEIVED AN IRA IN A DELAWARE CHARTER ACCOUNT. I
WAS REGISTERED IN DELAWARE AND WAS UNAWARE OF THE ACCOUNT BEING
IN WISCONSIN, I WAS NEVER TOLD ABOUT THIS NOR RECIEVED ANY
RETURN MAIL. ALL CONFIRMS WENT DIRECTLY TO DELAWARE.
SEE EXPLANATION IN QUESTIONS #7
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NOT PROVIDED
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SUMMARY ORDER TO CEASE AND DESIST ISSUED TO RESPONDENT'S CROWN CADENA JOINT VENTURE, CROWN EXPLORATION
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ORDER REVOKING ALABAMA INSURANCE LICENSE ISSUED ON 01/05/1996. UPON APPEAL, THE REVOCATION ORDER WAS SET
APPLICANT WAS FINED $200.00 WHICH WAS DUE AND PAYABLE WITHIN 15 DAYS OF THE ORDER DATED 06/16/1999.
APPLICANT'S IOWA INSURANCE LICENSE WAS REVOKED ON 1/10/1997 AND APPEALED. EFFECTIVE 7/28/2001 THE MATTER W
Not Provided
I BELIEVE I ACTED PROPERLY. THE CLIENT
MISREPRESENTED HIS STATUS TO ME.
MENT OF $13,250 TO [CUSTOMER]WAS PAID ON 4/26/01. BOTH WERE PAID BY THE FIRM.
I WAS NOT AWARE OF A RENEWAL FEE BECAUSE I LEFT
INVESTORS CENTER IN FEB. OF 1989 THEREFORE I AM NOT ANSWERING
YES TO ANY QUESTION ON P.3 OF THE U-4.
CLAIMANTS ALLEGE EXECUTED EXCESSIVE AND UNSUITABLE
TRANSACTIONS IN HIS MARGIN ACCOUNT. MONETRAY/FINE WAS SETTLE FOR 55,000. ON
9/10/1999.
THE CITATION FOR "IMPROPER USE OF A PROFESSIONAL DESIGNATION" WAS ACTUALLY NOT A PROFESSIONAL DESIGNATION
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NOT PROVIDED
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THE ALLEGATIONS ARISE FROM AN UNFORESEEABLE COLLAPSE OF THE ARS MARKET IN FEBRUARY 2008 AND ARE DENIED, ON
AT THE DIRECTION OF TWO PUBLIC CLIENTS, I SIGNED
THEIR NAMES TO DOCUMENTS. IN ONE CASE, I SIGNED A FIXED-ANNUITY
CONTRACT IN THE PLACE DESIGNATED AS OWNER. I ALSO SIGNED TO
AUTHORIZE THE TRANSFER OF FUNDS FROM ONE EXISTING ACCOUNT TO
ANOTHER ACCOUNT.
ON MARCH 4, 1998 THE OHIO DIVISION OF SECURITIES FOUND THAT MR. SHEPHERD WAS NOT OF GOOD BUSINESS REPUTE A
Not Provided
Not Provided
SEE ATTACHED
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THE ORDER SEEKING LICENSE REVOCATION WAS TERMINATED BECAUSE OF WITHDRAWAL OF LICENSE IN THE STATE OF OHIO
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E STATE OF ILLINOIS FOR THREE YEARS.
MR. RAPPAPORT SERVED HIS 30 DAY SUSPENSION FROM NOVEMBER 6, 2006 THROUGH DECEMBER 5, 2006.
NOT PROVIDED
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RIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS FINED $5,000.
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Not Provided
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Y COHEN-MCCLUCKIE.
NOT PROVIDED
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Not Provided
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ON MY INITIAL NY STATE APPLICATION, I MISREAD THE QUESTION ABOUT BANKRUPTCY AND ANSWERED IT INCORRECTLY. I R
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DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE HE IS CENSURED AND FINED $10,000 JOINTLY AND SEVERALLY.
Not Provided
A LISTING OF CORRECTIVE ACTION AND OTHER
INFORMATION EXPLAINING THE CIRCUMSTANCES WAS SUBMITTED TO THE
NASD IN 8/96. SEE THAT DOCUMENT IF FURTHER INFORMATION IS
NEEDED ON THE ISSUES.
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NOT PROVIDED
ON 2/23/05 AN ORDER WAS ISSUED WHICH PROHIBITS KELCH FROM TRANSACTING BUSINESS IN WISCONSIN AS AN INVESTM
Not Provided
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MR. GOUZOS WAS RELYING ON THE CREDIT CHECKS DONE BY THE CLEARING FIRM TO PROVIDE ALERTS TO ANY SUSPICIOUS A
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PORTION OF THE FINE WAS WAIVED.
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Not Provided
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BROKER WAS NOT NOTIFIED OF HEARING IN REGARDS TO
HIS REGISTRATION. BROKER FINDS STATES DENIAL UNCONSCIONABLE
AND IS ATTEMPTING TO REOPEN HEARING.
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ORDER NECESSARY TO GRANT CURRENT REGISTRATION.
PROCEEDING DENIED EVIDENCE TO CONTEST MATTER. STATES OTHER
THAN TEXAS RECOGNIZED REGISTRATION THROUGH THE CRD SYSTEM.
RESPONDENT WOULD MAINTAIN THAT NO VIOLATION OF
ANY KIND OCCURRED IN RELATION TO THE JONES ACCOUNT.
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WITHOUT ADMITTING OR DENYING THE ALLEGATIONS THE RESPONDENT CONSENTED TO THE DESCRIBED SANCTIONS AND T
MR. GLODEK DOES NOT AND HAS NOT ACTED IN A PRINCIPAL CAPACITY SINCE 2002.
ON AUGUST 25, 2008 THE 1ST DISTRICT COURT OF APPEALS GRANTED A STAY OF THE DFS ORDER WHILE THE ORDER IS IN AP
THE NASD WAS INVESTIGATING AN ALLEGATION THAT I SETTLED AWAY WITH A CLIENT.
CERTAIN TRANSACTIONS WERE NOT EXECUTED AT PRICES WHICH WERE FAIR OR REASONABLE. IN VIOLATION OF RULE G-30
ADMINISTRATIVE ORDER AROSE FROM ACTIVITIES NOTED
IN 23E(2)
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MR. KIRONT DENIES ALL OF THE ALLEGATIONS.
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TSSB ORDER AND UNDERTAKING ATTACHED
Not Provided
CCOUNTING ERROR ON MY PART.
FINE SENT IN 06/03/2003
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I SETTLED THE MATTER IN ORDER TO AVOID THE COST
OF LITIGATION WITHOUT ADMITTING JOR DENYING ANY WRONG DOING ON
MY BEHALF.
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TO AVOID THE TIME AND COST OF LITIGATING A MATTER
WHICH OCCURRED IN 1986. MR. KASTAN AND THE NYSE CONSENTED TO
SETTLEMENT INVOLVING A CENSURE AND TWO MONTH SUSPENSION
FOLLOWED BY SIX MONTHS OF ENHANCED SUPERVISION.
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60 DAYS SUPERVISORY SUSPENSION.
Not Provided
Not Provided
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NOT PROVIDED
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PROCEDURAL MISUNDERSTANDING BETWEEN INSURED AND AGENCY, RESULTING FROM EMPLOYER'S MASS MIGRATION OF
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IN JUNE 2006, WHILE SERVING AS THE FINOP FOR GCC, THE FIRM FAILED TO ACCRUE CERTAIN PAYABLES AND CHARACTERIZE
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Not Provided
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**9/11/07** THE DECISION BECAME FINAL AS OF THE CLOSE OF BUSINESS ON SEPTEMBER 10, 2007. YOUR SUSPENSION WIL
LINOIS AND WILL NOT REAPPLY FOR REGISTRATION FOR A PERIOD OF TWO YEARS. RESPONDENT HAS PAID COST OF INVESTIGATION.
NOT PROVIDED
NCIPAL AND BROKER DEALER LICENSES FOR THOSE REGISTERED IN STATE OF MISSOURI WERE TEMPORARILY SUSPENDED. NO RETESTING
LETTER ATTACHED FROM CPA.
IN COMPLIANCE WITH THE ORDER, CEA RETAINED AN INDEPENDENT CONSULTANT WHICH WILL APPROVE ALL ADVERTISING
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Not Provided
Not Provided
FINDINGS AND CONSENT ORDER ARE ATTACHED
COPY OF FINDINGS AND CONSENT ORDER RECEIVED (001231 21689).
PER INSTRUCTIONS FROM NASD, CHECK IN THE AMOUNT OF $1850 WAS SENT TO PHILADELPHIA OFFICE ON 05/25/2006.
THESE WERE LEFT OVER SHARES FROM WHAT WAS BELIEVED TO BE A NON-HOT IPO. THERE WERE SO MANY IPOS IN THAT T
FOUND TO HAVE ENGAGED IN UNSUITABLE TRANSACTIONS,
CIRCUMVENTING FIRM PROCEDURES AND ENTERING DISCRETIONARY TRADES WITHOUT WRITTEN
AUTHORIZATION. FOUND NOT GUILTY OF UNAUTHORIZED TRANSACTIONS, MATERIAL
MISSTATEMENTS AND FAILURE TO FOLLOW INSTRUCTIONS.
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NASD COMPLAINT #ATL-719-AWC. PETAGNA WAS CENSURED AND FINED IN OCTOBER 1983.
RESPONDENT PARTICIPATED IN SETTLEMENT FOR A CLIENT COMPLAINT (COMPLAINT EVENT #1305675) FOR THIS MATTER.
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Not Provided
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AFTER FIVE (5) YEARS I FELT IT WAS BEST TO SETTLE
THIS MATTER AND GET THIS SAD PERIOD OF MY LIFE BEHIND ME.
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PPLY FOR TWO YEARS. THE FORMAL HEARING ON THE MATTER WAS DISMISSED WITHOUT FURTHER PROCEEDINGS. THE $500 FINE WA
THE COMMISSIONER OF INSURANCE OF THE STATE OF KANSAS ADMINISTERED A $100.00 PENALTY ON MR. TENPENNY FOR N
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WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MR. TROST CONSENTED TO THE ENTRY OF THE ORDER ACCEPTING TH
A NOTICE OF HEARING WAS ISSUED ON 05/16/02. A HEARING IS SCHEDULED FOR 07/03/02.
Not Provided
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Not Provided
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Not Provided
IN ORDER TO AVOID FURTHER COSTS AND LITIGATION
AND WITHOUT ADMITTING OR DENYING THE ALLEGATION, THE FDIC
REDUCED THE PENALTY FROM $3,000.00 TO $2,250.00.
Not Provided
A NOTICE OF HEARING WAS ISSUED MARCH 28, 2000. THE HEARING WAS SET FOR MAY 17, 2000.
AND BY MUTUAL AGREEMENT OF THE PARTIES, HAS BEEN CONTINUED TO JULY 5, 2000.
AN ORDER OF CONSENT ORDER OF WITHDRAWAL, DATED JUNE 15, 2000, WAS ENTERED.
AGENT WAS NOT AWARE HE WAS NOT REGISTERED TO SELL IN THE STATE AND THAT THE SECURITIES WERE NOT REGISTERED
NOT PROVIDED.
NOT PROVIDED
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Not Provided
Not Provided
Not Provided
MR. SCOTT BELIEVES HE WAS DENIED REGISTRATION BECAUSE OF SEVERAL INCIDENTS ON HIS CRD.
MR. SCOTT BELIEVES HE DID NOT INDULGE IN UNETHICAL NOR DISHONEST BUSINESS PRACTICES
NOR VIOLATE THE GEORGIA SECURITIES ACT.
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BLOOM WAS CENSURED AND FINED IN NASD COMPLAINT #N-298.
THE NET CAPITAL DEFICIENCY RESULTED FROM GREATER
THAN ANTICIPATED HAIRCUTS ON OUR TRADING ACCOUNTS. I RESIGNED
FROM PRIMUS FINANCIAL SERVICES AS OF NOVEMBER 17, 1988.
NYSE BOARD OF DIRECTORS REVERSED THE DECISION OF HEARING PANEL REJECTING THE STIPULATION, AND APPROVED STIP
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CONSENT ORDER SIGNED 1/31/03.
CENSURE IS SOLELY THE RESULT OF THE NYSE FINDINGS.
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Not Provided
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Not Provided
Not Provided
THE APPLICANT NEVER RECEIVED OR SIGNED FOR A
CERTIFIED MAILING FROM STATE OF MARYLAND REGARDING APPLICATION.
THE STATE ISSUED ORDER OF DENIAL. ALL INFORMATION WAS
SUBSEQUENTLY SENT.
THIS EVENT HAPPENED 20 YEARS AGO (DECEMBER 1976)
AS A YOUNG INEXPERIENCED AGENT. POOR JUDGEMENT WAS USED IN
SETTING UP AGENCY ACCOUNTS AND PROCEDURES. I HAVE NO VIOLATIONS
OR COMPLAINTS FILED SINCE.
BRUNER WAS FINED AND SUSPENDED FOR TEN DAYS IN CONNECTION WITH NASD COMPLAINT #K-237.
Not Provided
Not Provided
Not Provided
SCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS CENSURED AND FINED $10,000, JOINTLY AND SEVERALLY.
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Not Provided
Not Provided
NOT PROVIDED
Not Provided
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NASD: 1-504-522-6527 - THE ONLY NOTATION TO APPEAR IS ON MY AMENDED U-4.
SEE RESPONSE TO ITEM 12 ABOVE
SEE ANSWER TO ITEM 12 ABOVE
Not Provided
Not Provided
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SEE ATTACHED
Not Provided
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NOT PROVIDED.
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MANUEL OJEDA (312)648-3035
THERE WAS NO HEARING. AN INITIAL OFFER WAS MADE BY SCC TO SETTLE FOR $60,000. WE ULTIMATELY AGREED TO $2000
ANSWERED "YES" in error on 22E4 ON ORIGINAL U-4.
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DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS CENSURED AND FINED $7,500.00 JOINTLY AND SEVERALLY.
ED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS CENSURED AND FINED $10,000 JOINTLY AND SEVERALLY.
Not Provided
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NOT PROVIDED.
Not Provided
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THE ALLEGATIONS ARISE FROM AN UNFORESEEABLE COLLAPSE OF THE ARS MARKET IN FEBRUARY 2008 AND ARE DENIED, ON
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I HAD 2 ACTS-THE INDIVIDUAL AND JOINT IN WHICH
THERE WAS MORE THAN 8000 CALLS IN ONE SIDE FOR BOTH ACCOUNTS.
I STOPPED PRACTICING AS A CPA IN 1981-I HAVE HAD
NO NEED FOR THE CERTIFICATE IN MY CURRENT VOCATION
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I HAVE SIGNED AN AGREEMENT WITH THE NASDR THAT NEITHER ADMITS NOR DENIES ANY OF THE ALLEGATIONS RELATED T
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AS ENTERED INTO A FINAL ORDER ON 01/24/2005 THE RESPONDENT WAS IN VIOLATION OF NASD RULE 3030 AND 3E-600.01
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Not Provided
NOT PROVIDED
Not Provided
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RESOLVED WITH NO DISCIPLINARY ACTION.
Not Provided
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Not Provided
Not Provided
SEE ABOVE
NO DOCUMENTS ARE AVAILABLE - I HAVE RECEIVED NOTHING OFFICAL FROM THE STATE AND CONSIDER THIS MATTER IS CLO
Not Provided
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APPLICANT RECEIVED MISLEADING INFORMATION FROM
LOCAL NASD OFFICE REGARDING THE PROPER AMOUNT OF HAIRCUT TO
APPLY TO AN ASSET WHICH RESULTED IN THE FIRM BEING UNDER NET
CAPITAL FOR ONE QUARTER.
NOT PROVIDED
NOT PROVIDED
NOT PROVIDED
NOT PROVIDED
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APPLICANT'S AWC OF CENSURE AND FINE OF $3,500 WAS ACCEPTED BY NASD REGULATION ON 8/5/99.
FIRST INVESTORS ENTERED INTO A SETTLEMENT IN WHICH IT NEITHER ADMITTED NOR DENIED THE ALLEGATIONS. UNDER TH
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STIPULATION TO SURRENDER INSURANCE PRODUCER LICENSE FOR REVOCATION
IN JUNE 1993 I REQUESTED REGISTRATION FOR STATE
OF VERMONT. CLIENT CALLED IN SEPTEMBER 1993 TO PLACE A TRADE
WHICH I WAS NOT AWARE THAT THE REGISTRATION REQUEST FOR VERMONT
HAD NOT BEEN COMPLETED.
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TO THE BEST OF MR. WENDEL'S KNOWLEDGE, THERE WERE NO OTHER COMPLAINTS FILED,
RELATING TO THE ALLEGATIONS GIVEN AS
REASON FOR THE SUSPENSION BY THE STATE OF MINNESOTA.
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NOT PROVIDED
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CUSTOMERS OF BD MADE CHECKS PAYABLE TO BD OR LEFT CASH TO PAY FOR STOCK TRADES. REP DEPOSITED SAME IN BD B
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Not Provided
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NASD COMPLAINT #NY-1881 FOR
RICHARD GILDER, JR. ALLEGED VIOLATION OF FREE-RIDING RULE IN
1974, RESULT 1976. INADVERTENT VIOLATION FOUND. COST ASSESSED.
DATES ON ALL OF THE ABOVE WERE RESOLVED ABOUT MAY OF 1986
DATES ON ALL OF THE ABOVE WERE RESOLVED ABOUT MAY OF 1986.
Not Provided
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THIS MATTER CONCERNED A PREVIOUSLY REPORTED
SETTLEMENT OF A CUSTOMER COMPLAINT. WITHOUT ADMITTING OR
DENYING GUILT, MR. DAVIS ENTERED INTO THE STIPULATION OF FACTS
AND CONSENT TO PENALTY OF A CENSURE TO END THIS MATTER.
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LAWSON WAS FINED $2,500.00 AS
A RESULT OF A VIOLATION OF NASD RULES IN CONNECTION WITH
COMPLAINT #ATL-770.
IN ITS DECISION, THE CBOE ACKNOWLEDGED THAT THE
CUSTOMER HAD GIVEN MR. BAUM CERTAIN VERBAL AUTHORIZATION TO USE
DISCRETIOIN IN THE CUSTOMER'S ACCOUNT.
NOT PROVIDED
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ON OR ABOUT 1973, RASWEILER WAS CENSURED AND
FINED ALONG WITH OTHER OFFICERS OF FERKAUF ROGGIN FOR A NYSE
CAPITAL RULE VIOLATION.
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Not Provided
Not Provided
WE HAVE WRITTEN A REPONSE TO THESE ALLEGATIONS. THIS MATTER HAS ALREADY BEEN INVESTIGATED BY THE NASD AND
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THROUGH RESPONDENT UTTER, FAILED TO ESTABLISH,
MAINTAIN AND ENFORCE WRITTEN SUPERVISORY PROCEDURES TO ENSURE
THAT THE RECOMMENDATION WAS SUITABLE.
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A DECISION AND ORDER OF ACCEPTANCE OF OFFER OF SETTLEMENT AND A $5,000.00 FINE WAS PAID BY THE RESPONDENTS
NANCY GREER OF $44,319.15 DURING THE PERIOD OF
JANUARY 4, 1982 THROUGH APRIL 30, 1982
Not Provided
Not Provided
Not Provided
SEE ATTACHED LETTER FROM NASD AND SIGNED
AGREEMENT ATTACHED.
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NOT PROVIDED
PRESENTED A LETTER OF ACCEPTANCE WAIVER AND CONSENT AND ELECTION OF PAYMENT FORM TO THE NASD REGULATIO
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Not Provided
COMPLAINT K-216 FILED 9/6/79 DIST 4 DECISION RENDERED 2/2/81 CENSURED, FINE $250 ALL RIGHTS WAIVED 2/2/81 FINA
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RESPONDENT TERRY L. WINGET BE CENSURED.
COPY OF EXHANGE HEARING PANEN DECISION 81-121
ATTACHED.
Not Provided
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SOLICITED A FEW CANADIAN STOCK TRADES WHICH WERE
BELIEVED TO BE REGISTERED BUT SUBSEQUENTLY FOUND NOT TO BE
REGISTERED IN KANSAS. CENSURED BY STATE OF KANSAS, PAID $2500.
FINE AND REQUALIFIED SERIES 63 EXAM.
NOT PROVIDED
NOT PROVIDED
NOT PROVIDED
MR VANYO AGREED TO PAY THE FINE WITHOUT ADMITTING
OR DENYING ANY GUILT
I GAVE STOCK BACK TO COMPANY AS SOON AS I
REALIZED IT WAS INAPPROPRIATE.
AWC ACCEPTED BY NASD, $3000 FINE PAID 01/09/1995
SETTLEMENT BY LETTER OF ACCEPTANCE, WAIVER & CONSENT. CENSURED AND FINED $7500. JOINTLY & SEVERALLY WITH TH
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INFORMATION PREVIOUSLY REPORTED ON ORIGINAL U-4 SUBMITTED FOR REGISTRATION AND APPLICATION FILED NOVEMB
INFORMATION PREVIOUSLY SUBMITTED TO THE NASD AT
THE TIME OF OCCURENCE AND AGAIN APPLICATION FILED FOR CONVERSION
ON 2/27/85.
BASED ON THE OFFER OF SETTLEMENT, IT IS THE DECISION OF THIS COMMITTEE THAT WILLER BE CENSURED AND FINED IN T
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Not Provided
$2,500 FINE NO OTHER ACTIONS TAKEN.
N/A
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Not Provided
NOT PROVIDED
9A. WHAT FIRM DID THE TRANSACTION TAKE PLACE? A. G. EDWARDS &
SONS, INC.
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N/A
NOT PROVIDED
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NOT PROVIDED
Not Provided
Not Provided
I DID NOT ATTEND THE PROCEEDING EVEN THOUGH I
BELIEVED I WAS WRONGLY AND BELATEDLY ACCUSED. I WAS ADVISED
THAT IT WOULD BE TIME CONSUMING AND EXPENSIVE TO FIGHT THIS
ISSUE. SINCE THE BAR FROM MANAGEMENT DID NOT COMPACT ME, I
ACCEPTED THE DECISION.
NEW-713 VIOLATION OF ART. III SEC. 1 AND 27 OF
NASD RULES. (REPURCHASE AGREEMENT NOT RECORDED)
NEW-712 VIOLATION OF ART. III SEC. 1 AND 27 OF
NASD RULES (MARK-UP)
MARK-UP ON 0% BONDS
SUITABILITY
NON-MEMBER PARENT BROKER/DEALER HAD A TRADE WITH
FIRM $200 COMMISSION.
THE FIRMS FINANCIAL PRINCIPAL HAD AGREED WITH
NASD TO RETAKE THE EXAM, BUT THERE WAS DISAGREEMENT AS TO WHAT
DEADLINE WAS COMMUNICATED TO HIM.
Not Provided
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NOT PROVIDED
NOT PROVIDED
NOT PROVIDED
ROEDER WAS ISSUED A CEASE AND DESIST ORDER BY THE STATE OF
MISSOURI, DIVISION OF SECURITIES, IN 1981.
IN APRIL, 1976, ROSENBERG'S STATE SECURITIES' LICENSE WAS SUSPENDED FOR A PERIOD OF THIRTY DAYS BY THE STATE OF
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Not Provided
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Not Provided
Not Provided
Not Provided
Not Provided
Not Provided
ON 10/31/73, RAZZETTI
CONSENTED TO AN NYSE CENSURE AND FINE FOR EXECUTING
TRANSACTIONS IN A CUSTOMER'S ACCOUNT ON A DISCRETIONARY BASIS
WITHOUT WRITTEN AUTHORIZATION.
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NEITHER MR. ROWADY NOR FIRST OF MICHIGAN
CORPORATION HAVE ANY DCOUMENTATION TO SUPPORT THIS MATTER OTHER
THAN WHAT IS BEING DISCLOSED AT THIS TIME.
NEITHER MR. ROWADY NR FIRST OF MICHIGAN
CORPORATION HAVE ANY DOCUMENTATION TO SUPPORT THIS MATTER OTHER
THAN WHAT IS BEING DISCLOSED AT THIS TIME.
NEITHER MR. ROWADY NOR FIRST OF MICHIGAN CORPORATION HAVE ANY DOCUMENTATION TO SUPPORT THIS MATTER OT
NEITHER MR. ROWADY NOR FIRST OF MICHIGAN
CORPORATION HAVE ANY DOCUMENTATION TO SUPPORT THIS MATTER OTHER
THAN WHAT IS BEING DISCLOSED AT THIS TIME.
NEITHER MR. ROWADY NOR FIRST OF MICHIGAN
CORPORATION HAVE ANY DOCUMENTATION TO SUPPORT THIS MATTER OTHER
THAN WHAT IS BEING DISCLOSED AT THIS TIME.
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Not Provided
Not Provided
Not Provided
CURRENT STATUS: NOT PROVIDED
RESPONDENTS BELIEVED THE SECURITIES WERE OFFERED
UNDER THE EXEMPTIVE PROVISIONS OF THE SECURITIES ACT OF 1933.
RESPONDENT WAS NOT AWARE OF TECHNICAL VIOLATIONS OF ISSUE AND
DID IN FACT RELY ON VARIOUS LEGAL OPINIONS AND DUE DILIGENCE
INVESTIGATIONS.
PEREMEL & CO, INC. AND HAROLD PEREMEL, PRINCIPAL
RELIED ON ATTORNEY OPINIONS OF ISSUER AND THOUGH THAT PROPER
DUE DILIGENCE IN CONFORMITY WITH RULES OF FAIR PRACTICE HAD
BEEN PERFORMED.
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NOT PROVIDED
NOT PROVIDED
Not Provided
NISSAN WAS CENSURED, ADMONISHED AND FINED BY THE NEW YORK STOCK EXCHANGE ON 7/31/62 FOR FAILURE TO SUPER
THE SUSPENSION HAS BEEN SERVED AND RESTITUTION HAS BEEN
MADE TO THE CLIENT.
EVENT OCCURRED 19 YRS. AGO AS I REMEMBER IT--IT
WAS FOR FREE RIDING ON 100 SHS. OF AN IPO. BUT SINCE 19 YRS.
HAVE PASSED--MEMORY FAILS TO COME UP WITH EXACT DETAILS.
ON 7/12/1988, COMMISSIONER OF SECURITIES FOR STATE OF GEORGIA PROPOSED TO ISSUE ORDER OF DENIAL OF REPRESEN
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Not Provided
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NOT PROVIDED.
IN 1973, I FALSIFIED MY EMPLOYMENT APPLICATION AS TO MY AGE. I WAS SUSPENDED FOR THREE MONTHS AND TERMINA
Not Provided
THE FIRM AND I SATISFACTORILY RESOLVED THIS
MATTER WITH THE CUSTOMER OVER TWO YEARS AGO. THIS NYSE
INVESTIGATION HAS BEEN ONGOING FOR NEARLY FIVE YEARS AND WAS
FINALLY SETTLED IN ORDER TO AVOID THE TIME AND EXPENSE OF
LITIGATION.
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AGREED TO ABOVE SETTLEMENT WITHOUT ADMITTING OR
DENYING THE ALLEGATIONS
THIS IS WHY F-2 IS NOT BEING ANSWERED YES
Not Provided
Not Provided
NOT PROVIDED
Not Provided
CURRENT STATUS: CLOSED
DINGS THAT HE PERMITTED MEMBER FIRM TO FAIL TO IMMEDIATELY NOTIFY REGULATORS OF PROBLEMS CONCERNING OPERATIONS, RE
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Not Provided
THE SUSPENSION WAS COMPLETED & I HAVE BEEN
REGISTERED WITH COLORADO SINCE 7/85 WITH OTHER BROKER/DEALERS.
Not Provided
NOT PROVIDED.
ON JUNE 2, 1980 THE DEPARTMENT OF BANKING AND
FINANCE DIVISION OF SECURITIES OF THE STATE OF FLORIDA ISSUED
LEVY A NOTICE OF DENIAL REGISTRATION FOR FAILURE TO CORRECT AN
ERROR OR OMISSION OR TO SUPPLY ADDITIONAL INFORMATION REQUESTED.
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THE COMPLAINT ALLEGATIONS WAS AGAINST THE FIRM,
BLOUNT PARRIS & ROTON AND NOT AGAINST ME PERSONALLY. THE FINE
WAS PAID AND FULL RESITUTION WAS GIVEN TO THOSE PUBLIC
CUSTOMERS AFFECTED.
TROL AFFILIATE CENCESURED.
NOT PROVIDED
(COPY OF OFFER OF SETTLEMENT AND CONSENT ATTACHED)
##################################################################################
##################################################################################
31/95 WAS VACATED. MY LICENSE WAS REINSTATED ON 04/25/95. THE ORIGINAL ORDER OF SUMMARY SUSPENSION DATED 12/07/94 W
ON APRIL 2, 1982, AN INFORMAL CONFERENCE WAS
HELD. ON MAY 1, 1982, MY LICENSE WAS SUSPENDED FOR ONE (1)
YEAR.
SUBJECT & FIRM CONSENT TO CONDITIONAL REGISTRATION REQUIRING ADDITIONAL SUPERVISION AND SPECIAL NOTIFICATI
##################################################################################
10/80 - SEE U4 WITH HERETH, ORR & JONES: 11/2/77 -GEORGIA COMMISSION ISSUED AN OFFICIAL REPRIMAND DUE TO LAC
##################################################################################
Not Provided
Not Provided
MR. OCTIGAN IS NOT ANSWERING YES TO ANY QUESTIONS
ON THE DRP BECAUSE HE FEELS THESE ARE NOT APPLICABLE TO HIM. HE
WAS NAMED BECAUSE HE FAILED TO SUPERVISE DECEASED AGENT IN HIS
OFFICE
##################################################################################
Not Provided
SEE # 7 ABOVE - HEARING @ CBOT DENYING LICENSE.
HIRED MY OWN ATTORNEY WHO GAINED RESTRICTED LICENSE.
SEE#7 ABOUE
Not Provided
FAILED TO REPORT A REPRIMAND FORM BACHE & CO ON
NYSE APPLICATION BECAUSE BACHE & CO NEVER COMMUNICATED THE
REPRIMAND.
SEE 8A ABOVE
##################################################################################
ORDER WAS DISSOLVED AFTER INFORMAL CONFERENCE
WITH THE STAFF OF THE ALABAMA SECURITIES COMMISSION.
NASD MEMBER IN ANY SUPERVISORY CAPACITY FOR 10 BUSINESS DAYS. THE SUSPENSION IS EFFECTIVE FROM APRIL 16, 2001 TO APRIL
ECT TO THE NASD'S INTERPRETATION ON FREE-RIDING AND WITHHOLDING
CITY FOR A PERIOD OF 120 DAYS. AFTER THE 120 DAY SUSPENSION WAS OVER I COULD BE RE-ASSOCIATED AS A SUPERVISOR IF I TOOK AN
TO RESOLVE THIS MATTER I NEITHER ADMITTED OR
DENIED THE ALLEGATION
NOT PROVIDED
AUDIT WAS DONE ON TIME, IT JUST WASN'T REPORTED.
THIS WAS A SMALL FIRM WITH ONLY THREE PRINCIPALS. NO LONGER IN
BUSINESS. WHAT FIRM DID THE TRANSACTION TAKE PLACE? CAPITAL
SECURITIES OF TEXAS.
##################################################################################
NOT APPLICABLE
##################################################################################
Not Provided
##################################################################################
Not Provided
Not Provided
##################################################################################
THIS COMPLAINT & SUBSEQUENT REGULATORY ACTION WAS
INITIATED BY SOMEONE OTHER THAN A CLIENT. I NOW REALIZE I DID
WRONG MAKING THE GUARANTEE.
##################################################################################
THE MATTER WAS SETTLED BY PAYING DOUGLAS SHIVERS $3000.00 JUST PRIOR TO THE HEARING.
Not Provided
AUGUST 11, 1973, THE STATE OF COLORADO DEPARTMENT OF INSURANCE
PLACED REP. ON ONE YEAR PROBATION FOR NOT USING THE PROPER
FORMS FOR DISCLOSURE STATEMENTS IN THE REPLACEMENT OF AN
INSURANCE POLICY.
(CONTINUATION OF QUESTION 7) RIDING AND
WITHHOLDING; AND, RESPONDENTS MEMBER, FRANK W. HOOVER, DANIEL
C. ARENDT, WAYNE E. BREWSTER AND RICHARD T. HUEBNER FAILED TO
PROPERLY SUPERVISE THE ACTIVITIES OF RESPONDENTS HUKLE AND
SANDBERG. *****
##################################################################################
AS BRANCH MANAGER IN A SUPERVISOR CAPACITY I
BELIVE I FOLLOWED ALL POLICIES & PROCEDURES OF PRUDENTIAL
BACHE SECURITIES.
ANY REUGLATORY VIOLATION REGARDING THIS
INVESTIGATION WAS SPECIFICALLY DENID. THE SETTLEMENT AGREED TO
SOLELY FOR THE PURPOSE OF EXTINGUISHING THIS MATTER TO AVOID
THE TIME AND COSTS OF LITIGATION.
MONEY WAS DEPOSITED TO WRONG ACCOUNT - SHOULD
HAVE BEEN IN ESCROW ACCT. BROKER DEALERS WERE NOTIFIED
VERBALLY- SHOULD HAVE BEEN IN WRITING.
##################################################################################
MADE UNSOLICITED TRADES IN ARK
MADE UNSOLICITED SALES IN IOWA
##################################################################################
##################################################################################
##################################################################################
THESE VIOLATIONS WERE FOUND DURING THE FIRMS
ANNUAL AUDIT BY THE NASD. I WAS A PRINCIPAL OF THE FIRM AND WAS NAMED AS A PARTY TO
THIS COMPLAINT.
Not Provided
Not Provided
NOT PROVIDED
##################################################################################
##################################################################################
CONTACT ALFRED L. HUGHES, JR. AT 804-371-9752 FOR FURTHER INFORMATION.
Not Provided
NO NEW OR RECENT EVENTS LED TO THE DENIAL OF REGISTRATION. THE MOST RECENT EVENT CITED IN THE DENIAL WAS M
##################################################################################
##################################################################################
Not Provided
##################################################################################
THE CONSENT ORDER NOTED THAT THE RESPONDENTS COOPERATED WITH THE SECURITIES DIVISION AND ALL PARTIES TO SE
7/7/87* AMENDED PAGE 3 FROM DORSEY & COMPANY, INC., DISCLOSES
THRU 22F2; DORSEY WAS CENSURED AND FINED BY THE NASD IN
CONNECTION WITH NASD COMPLAINT #NEW-454-AWC, 5/27/86.
7/7/87* AMENDED PAGE 3 FROM DORSEY & COMPANY, INC., DISCLOSES
THRU 22F2; NASD CENSURE AND FINE IN CONNECTION WITH NASD
COMPLAINT #N-243, 1/16/78.
NOT PROVIDED
MY REGISTRATION AS AN INVESTMENT ADVISER REPRESENTATIVE OF VSR FINANCIAL HAS BEEN GRANTED AS OF THE ORDER
##################################################################################
##################################################################################
THERE WERE NO FINDING OF FACT OR CONCLUSION OF
LAW AGAINST FEHRMAN. THIS CASE WAS SETTLED PURELY FOR FINANCIAL
REASONS.
ANSWERED "NO" TO 23D2 BECAUSE ALLEGATIONS WERE MADE BUT THERE WAS NO FINDING OF
FACTS.
NOT PROVIDED
TOTAL COMMISSION WAS NOT PROPERLY BOOKED ON
WESTPORTS BOOK & RECORDS.
##################################################################################
Not Provided
D NOT REAPPLY FOR SUCH LICENSE FOR ONE YEAR FROM THE DATE OF THE CONSENT AGREEMENT.
##################################################################################
LONG TIME CLIENT MOVED TO WISC. I DID BUSINESS
WITH HIM ONLY. NEVER SOLICITED ANYONE ELSE SO I DIDN'T BELIEVE
I NEEDED TO BE REGISTERED (AND NEITHER DID FIRM).
##################################################################################
##################################################################################
Not Provided
NASD COMPLAINT #ATL-780-AWC, IN WHICH CHAMBERLAIN WAS CENSURED AND FINED ON 4/30/85.
BED SANCTIONS AND TO THE ENTRY OF FINDINGS;THEREFORE HE IS CENSURED AND FINED $15,000 JOINTLY AND SEVERALLY
ED FROM THE SALE OF THE HOT ISSUE SECURITIES IN QUESTION.
Not Provided
Not Provided
NOT PROVIDED
Not Provided
Not Provided
##################################################################################
EXPLAINED IN ITEMS 4 AND 7
##################################################################################
LL RIGHTS WAIVED 09-04-1979 FINAL FINES COSTS 10/11/1979 FC #7436 PD J&S..
Not Provided
THE TERMS OF THIS AWC AS PREVIOUSLY DISCLOSED ON
FORM U-4 FILED 9/16/97 WERE RENEGOTIATED TO REFLECT THE ABOVE.
THE TERMS OF THIS AWC AS PREVIOUSLY DISCLOSED ON
FORM U-4 FILED 9/16/97 WERE RENEGOTIATED TO REFLECT THE ABOVE.
SEE ATTACHED CORRESPONDENCE FROM NASD.
##################################################################################
ON NOVEMBER 28, 1990 AN AFFIDAVIT WAS MAILED TO SEC'S LA OFFICE VIA U. S. POSTAL SERVICES ADVISION RESPONDENT
AID THE ENTIRE FINE.
AID THE FINE.
AS PAID ENTIRELY BY THE FIRM.
DATE. AFTER THE TWO YEAR PERIOD THE FIRM MAY REQUEST THAT THE CONDITIONS BE REMOVED.
##################################################################################
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, AGENT AND BROKER STIPULATED AND AGREED THAT, FOR A PERIOD OF O
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, AGENT AND BROKER STIPULATED AND AGREED THAT, FOR A PERIOD OF O
##################################################################################
AGENT APPLIED FOR REGISTRATION IN MULTIPLE STATES BASED UPON THE SAME PRE-EXISTING DISCLOSURES ON HIS CRD. O
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, AGENT AND BROKER STIPULATED AND AGREED THAT AGENT'S ACTIVITIES
##################################################################################
##################################################################################
##################################################################################
BASED UPON PRE-EXISTING DISCLOSURES ON CRD, AGENT AND BROKER STIPULATED AND AGREED THAT AGENT'S ACTIVITIES
##################################################################################
##################################################################################
##################################################################################
##################################################################################
##################################################################################
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REQUIRMENTS.
##################################################################################
##################################################################################
NOT PROVIDED.
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
<NOT PROVIDED>
##################################################################################
THE COMMISSIONER ISSUED AN ORDER OF SHOW CAUSE FOR AGENT
REGISTRATION REVOCATION BASED UPON FILINGS WITH THE CRD OF DISCLOSABLE EVENTS
CONCERNING INVESTMENT RELATED MATTERS CUSTOMER INITIATED COMPLAINTS AND OR OTHER
PROCEEDINGS.
Not Provided
CLIENT HAD SIGNED DISCRETIONARY ACCOUNT TRADED
ACCOUNT FOR 2 YEARS-HOWEVER WHEN CLIENT COMPLAINED I LOST HER
MONEY PIPER JAFFRAY HAD NO RECORD OF A CURRENT DISCRETIONARY
ACCOUNT AGREEMENT ON FILE SETTLED ON 3/31/80
Not Provided
##################################################################################
Not Provided
##################################################################################
##################################################################################
Not Provided
BEALE WAS SUSPENDED BY THE SEC FOR FAILING TO REASONABLY SUPERVISE EMPLOYEES UNDER HIS SUPERVISION AND CON
##################################################################################
##################################################################################
NOT PROVIDED
##################################################################################
##################################################################################
Not Provided
##################################################################################
##################################################################################
IN A LETTER DATED NOVEMBER 15,
1979, BELL WAS CENSURED BY THE FLORIDA DIVISION OF SECURITIES
FOR OMITTING TO REPORT A CENSURE AND FINE BY THE NYSE.
DISCIPLINED AS A MANAGER FOR BROKER WHO GUARANTEED A LOSS FOR A CUSTOMER. AN ARBITRATION COMMITTEE SAID
** SEE INCIDENT #1.
NOT PROVIDED
Not Provided
##################################################################################
Not Provided
MR. BERMAN DENIES THAT HE VIOLATED JUST AND EQUITABLE PRINCIPLES OF TRADES AS ALLEDGED BY CBOE FOUND IN EXC
FECTIVE DATE. AFTER TWO YEARS, PETITION MAY BE MADE TO VERMONT SECURITIES DIVISION TO HAVE THE CONDITIONS REMOVED OR
##################################################################################
RECEIVED NOTIFICATION ON JULY 22, 2008. IMPROPER REGISTRATION BY FIRM. FIRM PAID MONETARY FINE. NO ACTION AG
##################################################################################
MY INSURANCE LICENSE WAS TEMPORARY SUSPENDED DUE
TO FAILURE TO COMPLETE A CONTINUING EDUCATION REQUIREMENT. UPON
COMPLETION IT WAS REINSTATED.
##################################################################################
Not Provided
SETTLEMENT WITH SEC - I DO NOT ADMIT OR DENY THE CHARGE MADE BY THE SEC AND PAID A $20,OOO FINE AND A 30 DAY
##################################################################################
##################################################################################
##################################################################################
IN ORDER TO AVOID THE EXPENSE AND UNCERTAINTY INVOLVED IN CONTINUING THE ENFORCEMENT ACTION, MR. EGGERS
CTOBER 13, 2008, OF HIS REGISTRATION AS A SALESPERSON IN THE STATE OF ILLINOIS, AND AGREED TO PAY THEIR COSTS OF INVESTIGAT
THIS DPR IS TO CORRECT THE DRP SIGNED BY ME ON
07-17-98 WHICH WAS INCORRECTLY COPIED FROM THE CONSENT ORDER AS
TO THE TERMS.
NOT PROVIDED
NOT PROVIDED
##################################################################################
NOTICE OF HEARING WAS DISMISSED PER CONSENT ORDER OF DISMISSAL ISSUED.
Not Provided
Not Provided
##################################################################################
##################################################################################
Not Provided
Not Provided
Not Provided
MR. REYNOLDS IS VIGOROUSLY DEFENDING THESE CHARGES.
**04/07/2009**THE DECISION IS FINAL AND THE BAR BECAME EFFECTIVE AT THE CLOSE OF
BUSINESS ON MARCH 31, 2009.
##################################################################################
##################################################################################
CONTINUING EDUCATION REQUIRED TO CONTINUE LICENSE WAS NOT COMPLETED AND REPORTED TO THE STATE BY 02/15/
RECEIVED NOTIFICATION ON JULY 22, 2008. IMPROPER REGISTRATION BY FIRM. FIRM PAID MONETARY FINE. NO ACTION AG
00.00 IN COSTS.
Not Provided
AT THE TIME OF THE OFFER, I WAS UNDER THE
IMPRESSION THAT I WAS REGISTERED IN MICHIGAN.
NOTE: THIS AMENDED DRP REFLECTS A 05/12/2006 CONSENT ORDER BETWEEN MR. RHEE AND THE STATE OF MISSOURI ON
##################################################################################
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Not Provided
EPARTMENT.
ON SEPTEMBER 17, 1992 I PURCHASED 100 SHARES OF
AN INITIAL PUBLIC OFFERING IN AMERICAN STUDIOS, INC. THROUGH
SHEARSON LEHMAN BROTHERS. THESE PURCHASES INVOLVED SOCURITIES
OF A PUBLIC OFFERING WHICH LATERED TRADED AT A PREMIUM IN THE
SECONDARY MARKET.
NOT PROVIDED
NETARY FINE IN THE AMOUNT OF $5,000.00
##################################################################################
I NO LONGER DESIRED TO BE MEMBER OF THE OKLAHOMA
BAR ASSOCIATION SO I DID NOT COMPLETE THE MANDATORY CONTINUING
LEGAL EDUCATION REQUIREMENTS.
##################################################################################
##################################################################################
##################################################################################
F PAYMENT IS NOT MADE AS AGREED, THE COMMISSIONER MAY VACATE THE ORDER, AT HIS SOLE DISCRETION, UPON 10 DAYS NOTICE T
SUBSEQUENT TO DISCUSSIONS BETWEEN SOUTH DAKOTA
SECURITIES DIVISION AND COUNSEL, IT WAS CONCLUDED THAT I WAS NOT GUILY OF ANY
VIOLATIONS AND WAS WRONGLY NAMED IN THE CONSENT ORDER.
##################################################################################
THE ALLEGATIONS ARISE FROM AN UNFORESEEABLE COLLAPSE OF THE ARS MARKET IN FEBRUARY 2008 AND ARE DENIED, ON
NASD ENFORCEMENT DEPT. AWC CAF040069. NASD ENFORCEMENT DEPT. AWC CAF040069. CASEY'S CHECK WAS SENT TO T
NOTICE OF HEARING WAS DISMISSED PER CONSENT ORDER OF DISMISSAL ISSUED.
NOT PROVIDED
##################################################################################
THE ALLEGATIONS ARISE FROM AN UNFORESEEABLE COLLAPSE OF THE ARS MARKET IN FEBRUARY 2008 AND ARE DENIED, ON
##################################################################################
AGENT DID NOT BECOME AWARE OF OR, THE COMPLAINTS UNTIL HIS FIRM TOLD HIM THEY WERE AMENDING HIS U-4 AND
RECEIVED IN MAIL TODAY 06/05/2006. FINE IS TO BE SHARED, PAID IN INSTALLMENTS. SUSPENSION IS FOR ALL THREE AT TH
##################################################################################
D AGREED TO WITHDRAW HIS REGISTRATION IN THE STATE AND NOT TO REAPPLY FOR REGISTRATION IN THE JURISDICTION FOR A PERIOD
##################################################################################
Not Provided
##################################################################################
MYSELF. I WAS SUSPENDED IN ALL PRINCIPAL CAPACITIES FOR THIRTY DAYS, EFFECTIVE ON A DATE SET BY NASD STAFF.
ED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS, THEREFORE, THE FIRM WAS CENSURED AND FINED $35,000, OF WHI
ON THE ADVISE OF COUSEL AND MY PREVIOUS FIRM, LEW
LLEBERBAUM, I ANSWERED "NO" TO ALL DISCIPLINARY QUESTIONS ON MY
U-4 APPLICATION. UPON LEAVING LEW LLEBERBAUM AND REGISTERING
WITH GALNES BERLAND, I WAS ADVISED THAT I HAD TO ANSWER "YES"
TO QUESTION 22B.
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, MR. ANGELONE CONSENTED TO AN AWC, WAS CENSURED AND FINED
##################################################################################
NOT PROVIDED
##################################################################################
SEE ATTACHED
##################################################################################
Not Provided
WE AGREED TO IMPLEMENT AND HAVE IMPLEMENTED THE CHANGES TO CORRECT THE DEFICIENCY.
##################################################################################
##################################################################################
NOT PROVIDED
TTED TO WITHDRAW THE APPLICATION. I AM RESTRICTED FROM REAPPLYING UNTIL DECEMBER 10, 2001 (TWO YEARS FROM ENTRY OF
##################################################################################
Not Provided
AFTER I HAD SUCCESSFULLY PASSED BOTH THE SERIES 7 AND 63 EXAMINATIONS, I WAS UNDER THE
IMPRESSION THAT MY FIRM HAD FILED THE PROPER DOCUMENTATION IN ORDER FOR ME TO
CONTACT
RESIDENTS OF WISCONSIN. I AM NOW REGISTERED IN THE STATE OF WISCONSIN.
##################################################################################
THIS ITEM WAS CLOSED BY THE EXCHANGE ON SEPTEMBER 21, 1999.
MR. SHERIDAN WAS FINED JOINED AND SEVERALLY IN THE AMOUNT OF $5,000.00. THE
DISGORGEMENT ORDERED WAS JOINT AND SEVERAL $18,402.00.
##################################################################################
THE FIRM TOLD ME AND SHOWED ME THAT IF I WAS
APPROVED IN TEXAS ON THEIR OWN STATIONARY. DUE TO INEXPERIENCE
THIS IS THE RESULT
Not Provided
##################################################################################
ORDER OF REGISTRATION AGREEMENT ISSUDE WHICH
PLACED MYSELF UNDER SUPERVISION UNTIL SUCH TIME AS I PASSED MY SERIES 24. EXAM WAS
PASSED ON 06/02/1999.
##################################################################################
##################################################################################
E ALLEGATIONS, ERIK K. OLSTEIN CONSENTED TO THE FINDING OF THE ALLEGATIONS AND TO THE FOLLOWING SANCTIONS: CENSURE AN
##################################################################################
I ANSWERED THE QUESTION TO THE BEST OF MY
KNOWLEDGE AND WITH THE ADVICE OF MY LAWYER THE DEPT OF
INSURANCE DID NOT AGREE.
H A MEMBER OF THE NYSE). BAR(SUSPENSION) FROM ALL INVESTMENT AFFILIATED BUSINESS WILL BEGIN AT CLOSE OF BUSINESS ON 04
##################################################################################
Not Provided
URE. ON 10/25/2000 THE $5000.00 WAS PAID.
##################################################################################
MR. LAROSILIERE FAILED TO DISCLOSED THE 1987
BANKRUPTCY FILING AS DIRECTED ON THE FORM U-4 WHEN APPLYING
WITH HIS PREVIOUS FIRM. THEREFORE, AN ORDER OF REPRIMAND WAS
ISSUED.
##################################################################################
SEE ITEM #7 ABOVE
03 WITH THE REMAINDER DUE IN JUNE 2004.
NOT PROVIDED
Not Provided
Not Provided
##################################################################################
##################################################################################
ENT ORDER TO COMPLETE. RR SATISFIED CONDITION.
##################################################################################
STATE WITHDREW ORDER AGAINST ME AS I HAD NOT SOLICITED ANY CLIENTS IN THE STATE.
I WAS PLACED ON PROBATION FROM 10/15/1996 TIL 9/20/1997.
I RECEIVED DISMISSAL FOR THIS MATTER ON 12/10/97; I PAID ADMINISTRATIVE FINE OF $250.00
ON JUNE 4, 1991 I SENT A BANK CHECK IN THE AMOUNT OF $500.00 TO S.C. DEPARTMENT OF INSURANCE. THIS MATTER IS N
VIOLATION OF NASD CODE 2310, RECOMMENDING CUSTOMERS TO SWITCH VARIABLE ANNUITIES WITHOUT REASONABLE G
##################################################################################
SETTLED TO AVOID COSTS OF FURTHER LITIGATION AND IS NOT ANY ADMISSION OF LIABILITY.
NO MALICE OR FRAUD INTENDED. A SIMPLE OVERSIGHT
IN BOOKKEEPING OF MY PERSONAL CHECKING ACCOUNT
##################################################################################
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Not Provided
##################################################################################
A CONSENT ORDER OF DISMISSAL WAS ISSUED WITH SANCTIONS ORDERED AS DESCRIBED IN ITEM 12.
PREVIOUS FIRM FAILED TO NOTIFY OR ASSIST ME IN THIS MATTER.
THE STATE OF UTAH REVOKED MY REGISTRATION FOR LACK OF RESPONSE.
IF THE DEPT. OF ENFORCEMENT SHOULD BRING THIS
AGAINST ME, I INTEND TO DEFEND MY CASE.
RECEIVED LETTER DATED APPROX. JAN,1996 FROM TEXAS STATE SECURITIES BOARD THAT MY LETTER OF EXPLANATION HAD
WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, HULL TRADING COMPANY MADE AN OFFER OF SETTLEMENT AND PAI
##################################################################################
NOT PROVIDED
##################################################################################
##################################################################################
##################################################################################
##################################################################################
CAPACITY STARTING DECEMBER 10, 2005 AND ENDING FEBRUARY 9,2006. $5000 FINE.
IF THERE ARE ANY QUESTIONS, PLEASE FEEL FREE TO CONTACT [THIRD PARTY] AT 312-793-3378.
VIOLATION TOOK PLACE DURING THE OEX OPENING ROTATION WHICH BECAUSE OF THE EXTRAORDINARY EVENTS OF THE M
##################################################################################
CONSENT OF ORDER OF WITHDRAWAL ISSUED ON 10/10/2001. REPRESENTATIVE MUST WITHDRAW WITHIN 3 DAYS FROM E
##################################################################################
REPRESENTATIVE, WHO DIDN'T RECEIVE COMPENSATION FOR THE TWO PRIVATE SECURITIES TRANSACTIONS, RELIED UPON A
##################################################################################
Not Provided
##################################################################################
##################################################################################
SOLD A $30,000 NOTE WITHOUT PREAPPROVAL FROM MY
BROKER/DEALER.
NOT PROVIDED
##################################################################################
##################################################################################
##################################################################################
##################################################################################
THE EVENTS THAT OCCURRED WERE SOLELY IN RESPECT TO HIS REGISTRATION WITH YORKTON SECURITIES INC. (OUR PAREN
THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS, THEREFORE, HE IS FINED $5,000, JOINTLY AND SEVERALLY.
Not Provided
##################################################################################
RECEIVED NOTIFICATION ON JULY 22, 2008. IMPROPER REGISTRATION BY FIRM. FIRM PAID MONETARY FINE. NO ACTION AGA
HAZLEWOOD'S SUSPENSION IS LIFTED EFFECTIVE AUGUST 21, 2007. HE HAS PAID THE $812.50 ARBITRATION FEE.
##################################################################################
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WAS A MISUNDERSTANDING OF A PENDING PRODUCT
APPROVAL BY THE KS INS DEPT I MENTIONED A NEW PRODUCT TO A
PROSPECTIVE CLIENT BEFORE THE PRODUCT WAS APPROVED FOR SALE IN
KANSAS.
I BELIEVE THE TRADE WAS AN ERROR. I ATTEMPTED TO GO THROUGH MY PREVIOUS FIRM TO COMPENSATE THE CLIENT. TH
NO OTHER DETAILS AVAILABLE
##################################################################################
##################################################################################
##################################################################################
##################################################################################
##################################################################################
THE ACTION WAS BASED ON THE AWC SIGN WITH THE NASD AND NOT DUE TO ANY ACTIONS OR INACTIONS OF MR. TSIKITA
0.00 AND SUSPENDED FOR 30 DAYS, STARTING ON 01/05/2006 AND CONCLUDING ON 02/03/2006.
ON 10/02/2006, MR. ROVNER AGREED TO WITHDRAW HIS REGISTRATION FROM THE STATE OF ILLINOIS, NOT TO RE-APPLY F
##################################################################################
O THE ALABAMA DEPARTMENT OF INSURANCE.
##################################################################################
##################################################################################
##################################################################################
WITHDREW REGISTRATION FROM ILLINOIS DUE TO PREVIOUSLY ENTERED INTO AWC WITH THE NASD
THE TEXAS SECURITIES COMMISSIONER ENTERED A DISCIPLINARY ORDER REPRIMANDING AND FINED ME $250.00 FOR FAILU
THE NASD ALLEGED THAT FROM AUGUST 2000 TO NOVEMBER 2000 MR. MANSUR PERFORMED DUTIES AS A REGISTERED PE
BUGLISI HAS BEEN GRANTED REGISTRATION IN THE STATE OF VERMONT SUBJECT TO RESTRICTION.
NASD REQUIRED REPRESENTATIVE TO REPORT MISDEMEANOR CHARGE TO FUTURE EMPOLYERS.
##################################################################################
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I WAS UNAWARE OF THE STATE OF IOWA'S SECURITIES LAWS REGARDING SUSPENSION. I WOULD NOT HAVE APPLIED FOR R
Not Provided
##################################################################################
REVOCATION WAS DUE TO FAILURE TO PAY RENEWAL FEE.
##################################################################################
E INSURANCE COMMISSIONER OF ALL FUTURE ADDRESS CHANGES.
##################################################################################
WITHOUT ADMITTING OR DENYING ANY VIOLATIONS, HILLSTROM CONSENTED TO THE IMPOSITION BY THE EXCHANGE OF A
Not Provided
STATE OF PENNSYLVANIA SAID TO REAPPLY ONCE PROBATION ENDED.
##################################################################################
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##################################################################################
TEMPORARILY SUSPENDED FROM THE PRACTICE OF LAW ON SEPTEMBER 5, 1996. REINSTATED TO PRACTICE UPON COMPLE
##################################################################################
PLEASE NOTE THROUGH NO FAULT OF MR. BOWEN, FIDELITY HAD FAILED TO TERMINATE HIS PENDING UTAH REGISTERED AD
MURRAY HAS VOLUNTARILY WITHDRAWN FROM ILLINOIS. HE AGREES TO PAY $750 FOR COST OF INVESTIGATION, AND TO N
##################################################################################
##################################################################################
RECEIVED INITIAL LETTER OF REVIEW (DATED 03-29-2001) FROM STATE OF TEXAS ON 04-06-2001. PAID $500.00 FINE ON AP
##################################################################################
AWAC DATED 5.31.06 RECEIVED IN MAIL TODAY 06/05/06. OCCURRED WHILE AT SII, SUSPENSION TO BE SERVED AT THE SAM
THE COMMISSION DIRECTS THAT THE SUMMARY ORDER TO CEASE AND DESIST IN THE PROCEEDING BE RECINDED PROSPECT
THE COMMISSION DIRECTS THAT THE SUMMARY ORDER TO CEASE AND DESIST IN THE PROCEEDING BE RECINDED PROSPECT
##################################################################################
E FINE OF $5000. REGISTRATION AGGREEMENT SHALL REMAIN IN FORCE FOR TWO YEARS THAT DOESE NOT ALLOW ANY SUPERVISION AN
##################################################################################
THE FIRM IMPLEMENTED PROCEDURES TO MONITOR RENEWAL REGISTRATION REQUIREMENTS, BUT THEY WERE NOT IN WR
##################################################################################
##################################################################################
THIS MATTER ORIGINATED FROM THE FAILURE OF MR. RIBICH TO UPDATE HIS ADDRESS AND/OR LEAVE A FORWARDING ADD
NONE
##################################################################################
THE CLAIM BY THE STATE OF MONTANA HAS BEEN DISMISSED WITH PREJUDICE AND WITH NO FINDING OF LIABILITY.
THE STATE OF IOWA REQUESTED MR. LORENZO BE PLACED ON HEIGHTENED SUPERVISION DUE TO HIS DISCLOSURE HISTORY
STATUS REMAINS AS STATED PREVIOUSLY AT THE DATE OF MY U-4 APPLICATION. I DO NOT PLAN TO RESUME A CAREER IN PU
##################################################################################
SCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS; THEREFORE, HE IS CENSURED AND FINED $10,000.
INITIAL APPLICATION DENIED BECAUSE THE SERIES 63 EXAM WAS NOT TAKEN WITHIN 6 MONTHS OF THE APPLICATION. THE
##################################################################################
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##################################################################################
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ORDERS TO CEASE AND DESIST WAS ISSUED AGAINST CHESTNUT PETROLEUM, INC., MARK A PLUMMER AND THOMAS E. TAP
SUMMARY ORDERS OF PROHIBITION WERE ISSUED AGAINST CHESTNUT PETROLEUM, INC., MARK A. PLUMMER, MARK J. SOL
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##################################################################################
LY RESULTS IN SUSPENSION OF LAW LICENSE UNTIL SUCH REQUIREMENTS ARE COMPLETED.
CURRENTLY IN THE PROCESS OF PAYING THE FEES ACCORDINGLY.
##################################################################################
LATE FILING OF INSURANCE AGENT LICENSE RENEWAL, STATE TOOK FORMAL ACTION AND FINE PAID OUT OF CORPORATE AC
##################################################################################
othrSnctnOrd
CERN EXPRESSED BY THE SEC. WITHOUT ADMITTING OR DENYING THE FINDINGS, THE RESPONDENTS CONSENTED TO THE ENTRY OF THE
UNDERTAKING AND REPRIMAND
REPRIMAND AND UNDERTAKING WITH SECURITIES COMMISSIONER
I AM TO "USE EXTREME CAUTION IN THE FUTURE TO ENSURE THAT ALL APPLICATIONS, STATEMENTS OR ANY OTHER REPRES
N/A
$5,000.00, JOINTLY AND SEVERALLY.
5000 FINE, 10 DAY SUSPENSION, AND RESTITUTION.
WITHDREW ITS CASE AFTER AN INVESTIGATION THAT LASTED 3 - 5 MONTHS. I WAS PREVENTED FROM BUSINESS DRUING THAT TIME UND
NONE KNOWN
LY LIABLE FOR THE $10,000 FINE PORTION OF THE ABOVE-REFERENCED AWC. JANSSEN-MEYERS ASSOCIATES PAID THIS AMOUNT AND SA
PPLICATION, EMPLOYING BD MUST EXECUTE SUPERVISORY AGREEMENT.
FFSETTING PAYABLE RESULTING IN A HIGHER REQUIRED NET CAPITAL. ADDITIONAL CAPITAL INJECTED IMMEDIATELY.
SPECT TO A FORMER REGISTERED REPRESENTATIVE OF THE FIRM AND THAT REPRESENTATIVE'S USE OF SALES LITERATURE. ALL FINES HA
BRUARY 2008 AND ARE DENIED, ON A NUMBER OF LEGAL AND FACTUAL BASES.
REPRIMAND
CONSENT ORDER - CIVIL PENALTY OF $1,200 AND ADMINISTRATIVE FEE OF $1,500.
12/05/2007 AND PAPERS PLACED IN FILE FOR ENDED CAUSES.
ON OR ABOUT 4/29/2008.
##################################################################################
FINE 250.00 AND ONE YEAR PROBATION
THE OHIO DEPARTMENT OF COMMERCE AND ITS COUNSEL HAVE REVIEWED AND DISCUSSED THE EVIDENCE RELEVANT TO TH
BUREAU OF INSURANCE ORDERED THAT MY OFFER OF SETTLEMENT BE ACCEPTED. SUCH OFFER WAS LIMITED TO THE PAYM
RPRETED AS A SETTLEMENT, NOT A FINE. THEREFORE I ANSWERED NO TO THE QUESTIONS. CURRENTLY I AM WORKING WITH THE STATE
999.UPDATED PROCEDURES HAVE BEEN INSTITUTED THAT ARE REASONABLY DESIGNED TO ATTEMPT TO AVOID THESE VIOLATIONS IN TH
RR ORDERED TO CEASE & DESIST REPRESENTING INSURANCE CO. DESCRIBED IN CONSENT ORDER AND ANY OTHER UNAUTHO
##################################################################################
FINAL ORDER TO DISCONTINUE VIOLATIONS PURSUANT TO CORORATIONS CODES
PROHIBITION
MONETARY FINE WAS A JOINT AND SEVERAL MONETARY FINE OF $7,500 AGAINST GARY DON
HALBERT AND [THIRD PARTY].
THERE WAS NOT A SEPARATE AMOUNT LISTED FOR GARY D. HALBERT.
IT WAS A JOINT AND SEVERAL MONETARY FINE.
,000 ALSO FINED $40,000 JOINT AND SEVERALLY
NONE
PERIOD OF 12 MONTHS.
TOBER 29, 2004.
$1 DISGORGEMENT
REQUALIFICATION AS A SERIES 7 GENERAL SECURITIES REPRESENTATIVE.
WITHDRAWAL OF APPLICATION
NE IN THE AMOUNT OF $10,000 FOR NEGLIGENT FAILURE TO CHECK PRICES.
OMPLETE THE CLE REQUIREMENTS. I SATISIFIED THE ANNUAL CLE REQUIREMENTS AND ON 12/04/2002 THE STATE OF KANSAS SUPREME
A CENSURE AND FINE OF $10,000 ($5,000 OF WHICH IS JOINT AND SEVERAL WITH SIEGEL).
ARCH 7, 2006.
ACCEPTANCE, WAILVE AND CONSENT, CENSURED AND FINED $2500.00 JOINTLY AND SEVERALLY (RUSHMORE SECURITIES AN
CONSENTS TO AN UNDERTAKING THAT HE COOPERATE WITH THE DIVISION OF ENFORCEMENT AND TESTIFY TRUTHFULLY IN
SPECIAL SUPERVISION
##################################################################################
RE-TAKE THE SERIES 24
NONE
COMPLETE ADDITIONAL EDUCATIONAL ACTIVITIES WITH IN 40 DAYS OF THE AGREEMENT AND PROVIDE A SWORN AFFIDAVIT
NONE
SSUED WAS $26,715.96.
TAKE SERIES 24 EXAM IN FUTURE IF I WANT TO ACT AS A PRINCIPAL AGAIN.
PLEASE SEE COMMENT ON NUMBER 13.
BEING NOTIFIED.
DISMISSAL
THE FINE IS IMPOSED JOINTLY AND SEVERALLY
NONE.
THE PROXIMATE CAUSE OF THE ACCOUNT IN QUESTION TRADING OPTIONS. HOWEVER I ENTERED INTO THE SETTLEMENT FOR THE SOLE
ORC 1707.19 WAS TERMINATED UPON SURRENDER OF LICENSE. LICENSE WAS SURRENDERED PRIOR TO A DETERMINATION ON THE MERI
REQUALIFY BY EXAMINATION AS A SERIES 24
NONE
NONE
JOINT AND SEVERAL. THE KEY GROUP ACTING THROUGH MR. MURRAY VIOLATED NASD RULES 1017 AND 2110 IN THAT THEY
COMMISSION ACCEPTED OFFER OF SETTLEMENT IN WHICH ALLEGATIONS ARE NEITHER ADMITTED NOR DENIED. REQUIRED T
RAYMOND GRENIER WAS REQUIRED TO REQUALIFY AS A SERIES 24 PRINCIPAL
BAR CONSISTS OF SUPERVISORY BAR ONLY.
##################################################################################
NONE
RESTRICTED LICENSE FOR 18 MONTHS
NONE
NONE
SPCIAL SUPERVISION
DER. THIS ORDER IS NOT A RESULT OF NEW ALLEGATIONS OR FINDINGS.
REPRIMAND
PROHIBITED FROM FUTURE DEALINGS WITH CENTRAL CREDIT UNION OF WILL COUNTY & WILL COUNTY SCHOOLS AND CRED
REPRESENTATIVE JOINT AND SEVERAL ON $20,000 OF TOTAL FINE TO FIRM.
JOINTLY AND SEVERALLY.
LETTER OF CAUTION
RESPONDENT ORDERED TO PAY COSTS OF INVESTIGATION ($850), PROHIBITED FROM RECOMMENDING MORTGAGING INVES
REQUALIFICATION AS A GENERAL SECURITIES PRINCIPAL
NY NEGATIVE SERCURITIES OR INVESTMENT ISSUES.
ANY NEGATIVE SECURITIES OR INVESTMENT ISSUES.
ME OF RENEWAL. IT IN NO WAY AFFECTED THE CLIENTS OR COMMUNITY. THE FEES HAVE BEEN PAID AND RENEWAL IS COMPLETE.
THE ORDER WAS TO DENY THE BROKER/DEALER REGISTRATION OF ENGLER-BUDD IN THE STATE OF MASSACHUSETTS ONLY.
PARTIAL RESTITUTION OF $10,000 TO THE BURIAL ASSOCIATION ACCOUNT THAT SUFFERED THE MOST LOSSES WAS ORDERED
NONE
RIBUTION TO SETTLEMENT
COSTS OF INVESTIGATION OF $720 PAID 12/19/95.
JOSEPHTHAL LYON & ROSS DID NOT SEND IN THE PAYMENT IN A TIMELY FASHION TO THE STATE HENCE MY LICENSING SUSPENSION.
PROBATION FOR PERIOD OF 12 MONTHS AS OF 11/8/07 THRU 11/8/08
NONE
TES 4/19/04 THRU 5/13/04.
MR. COST 1) WILL SEND A LETTER OF APOLOGY TO THE CLAIMANT, WHICH WILL HAVE PRIOR APPROVAL BY THE VIRGINIA DIV
N/A
REQUALIFICATION
ARY AFFAIRS.
REGISTRANT MUST EARN THE NECESSARY HOURS TO FULFILL CONTINUING EDUCATION REQUIREMENT WITHIN 120 DAYS OF
REGISTRANT MUST EARN THE NECESSARY HOURS TO FULFILL CONTINUING EDUCATION REQUIREMENT WITHIN 120 DAYS OF
NVESTMENT RELATED REGULATIONS OR STATUTES AGAINST ME. THE AGREEMENT WAS TO ADOPT CERTAIN POLICIES AND PROCEDURES
OF A NASDAQ SYSTEM.
E NO CALIFORNIA INVESTORS ON THIS WELL, TO MY KNOWLEDGE, THAT WERE PUBLICALLY SOLICITED.
N/A
0 JOINTLY AND SEVERALLY.
NONE
NONE
COST OF INVESTIGATIVE FEES
NO OTHER SANCTIONS FOLLOW
NT VENTURE, CROWN EXPLORATIONS INC., SHAWN M. GRISHAM AND JEFF GEORGES
##################################################################################
THE REVOCATION ORDER WAS SET ASIDE ON 01/31/1997
ORDER DATED 06/16/1999.
FFECTIVE 7/28/2001 THE MATTER WAS DISMISSED AND THE LICENSE WAS REINSTATED.
PAYMENT OF $13,250 TO [CUSTOMER] TO RESOLVE CUSTOMER COMPLAINT.
NONE
NOT A PROFESSIONAL DESIGNATION BUT RATHER A MARKETING TITLE, "SBC RETIREMENT PLANNING SPECIALIST".
AGREEMENT TO TAKE ALL NECESSARY STEPS TO PREVENT THE REOCCURANCE OF SIMILAR VIOLATIONS
BRUARY 2008 AND ARE DENIED, ON A NUMBER OF LEGAL AND FACTUAL BASES.
NOT OF GOOD BUSINESS REPUTE AS THAT TERM IS DEFINED IN OHIO ADMINISTRATIVE CODE RULE 1301:6-3-19(D) (G) AND (9) AND OF O
L OF LICENSE IN THE STATE OF OHIO. LICENSE WAS SURRENDERED WITH DISCIPLINARY ACTION PENDING. NO FURTHER ACTION PENDING
REQUALIFY AS A SERIES 24
ECEMBER 5, 2006.
ND ANSWERED IT INCORRECTLY. I RECEIVED THE LETTER REGARDING THE FINE AND IT WAS MAILED TO THEM ON 3/29/06.
10,000 JOINTLY AND SEVERALLY.
NONE
NESS IN WISCONSIN AS AN INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE UNLESS LICENSED. PREVIOUS ORDER OF CEN
AML TRAINING.
UNDERTAKING
REQUALIFICATION AS GSP
ORDER WHILE THE ORDER IS IN APPEAL.
ABLE. IN VIOLATION OF RULE G-30 OF MSRB. IN ADDITION, THE COMPLAINT ALLEGED CERTAIN SUITABILITY AND OTHER VIOLATIONS AR
##################################################################################
NONE
NONE
NONE
REPRIMAND
##################################################################################
EMPLOYER'S MASS MIGRATION OF POLICIES FROM ONE INSURANCE COMPANY TO ANOTHER. NO FINANCIAL DAMAGES AND RESULTED I
TAIN PAYABLES AND CHARACTERIZED NON-ALLOWABLE RECEIVABLES AS AN ALLOWABLE ASSET, WHICH LED TO A VIOLATION OF CONDUC
CONSENT OF STIPULATION
CONSENT TO CENSURE, THREE-MONTH SUSPENSION AND $10,000 FINE.
PAID COST OF INVESTIGATION.
RARILY SUSPENDED. NO RETESTING WAS REQUIRED, AND ALL LICENSES FOR THE STATE WERE REINSTATED.
H WILL APPROVE ALL ADVERTISING MATERIAL THROUGH THE PERIOD ENDING DECEMBER 12, 2003.
##################################################################################
ELPHIA OFFICE ON 05/25/2006.
RE WERE SO MANY IPOS IN THAT TIME FRAME THAT UNSUBSCRIBED SHARES BECAME COMMON. THESE TRADES WERE APPROVED BY TH
NONE
NT #1305675) FOR THIS MATTER.
NONE
HEIGHTENED SUPERVISION FOR 9 MONTHS
CONSENT ORDER OF WITHDRAWAL
THE COMMISSIONER OF INSURANCE OF THE STATE OF KANSAS ADMINISTERED A $100.00 PENALTY ON MR. TENPENNY FOR N
CONSENT ORDER OF WITHDRAWAL
SUSPENSION IS ONLY FROM ACTING IN A PRINCIPAL CAPACITY FOR TWO MONTHS.
CONSENT TO WITHDRAW
SECURITIES WERE NOT REGISTERED FOR SALE.
STIPULATION, AND APPROVED STIPULATION.
CONSENT TO CENSURE, ONE MONTH SUPERVISORY SUSPENSION, $3,000 FINE AND A REQUIREMENT THAT HE COMPLETE A T
CONSENT ORDER
FINED UNDISCLOSED AMOUNT
000, JOINTLY AND SEVERALLY.
WILL NOT ACT IN THE CAPACITY OF ILLINOIS DESIGNATED PRINCIPAL OF A DEALER FOR A PERIOD OF TWO(2)YEARS.
NONE
WE ULTIMATELY AGREED TO $2000 WHICH WAS LESS THAN THE COST OF ATTORNEY FEES TO FIGHT THE CASE.
,500.00 JOINTLY AND SEVERALLY.
INTLY AND SEVERALLY.
NONE
BRUARY 2008 AND ARE DENIED, ON A NUMBER OF LEGAL AND FACTUAL BASES.
Y OF THE ALLEGATIONS RELATED TO THIS AWC.
OF NASD RULE 3030 AND 3E-600.013(2)(H), FLORIDA ADMISISTRATIVE CODE. OUTSIDE BUSINESS ACTIVITY.
ORDER TO CEASE AND DESIST FORM ENGAGING IN THE ACTIVITIES DESCRIBED IN THE FINDINGS OF FACT AND CONCLUSION O
FINAL ORDER - ONE YEAR LICENSE PROBATIONARY STATUS PLACED ON MY PRODUCER LICENSE AND REQUIRED QUARTERLY R
CEASE AND DESIST FROM VIOLATION S. INS 6.60 AND S. INS 6.61 WIS ADMIN CODE
$400 CIVIL PENALTY AND $100 FOR ADMINSTRATIVE COSTS. PROVIDE EACH OHIO INSURER WITH WHICH I WAS APPOINTED
NONE
##################################################################################
AND CONSIDER THIS MATTER IS CLOSED
WITHOUT ADMITTING OR DENYING THE FINDINGS, BOONE CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY O
N ON 8/5/99.
NIED THE ALLEGATIONS. UNDER THE TERMS OF THE SETTLELMENT, FIC AND COLLINS JOINTLY PAID THE $1,000
THE ACCIDENT/HEALTH LICENSE WAS DENIED FOR 31 DAYS FROM THE DATE OF THE LETTER AND WAS ADDED TO THE EXISTIN
DES. REP DEPOSITED SAME IN BD BANK ACCOUNT AND SAME DAY OR OVERNIGHTED ALL FUNDS FOR TRANSACTIONS. NASD EXAM FOUN
##################################################################################
180 DAYS SUSPENSION IN THE STATE OF TENNESSEE
NONE
THE BUSINESS CONDUCT COMMITTEE OF THE CBOE ISSUED A DISGORGEMENT OF $18,402.
CENSURE WAS ORDERED BY ACTING CHAIRMAN FOR ALL SUBJECTS.
N INVESTIGATED BY THE NASD AND THE SEC. NO WRONG-DOING HAS BEEN FOUND.
NONE
E WAS PAID BY THE RESPONDENTS.
N/A
NT FORM TO THE NASD REGULATION DIVISION ON 07/09/2001. PAID MONETARY FINE OF $3000, CHECK DATED 08/23/2001, MAILED US E
0 ALL RIGHTS WAIVED 2/2/81 FINAL 3/24/81
TO REIMBURSE THE DEPARTMENT FOR THE COST, EXPENSES AND ATTORNEY FEES INCURRED BY THE DEPARTMENT IN THIS M
500. JOINTLY & SEVERALLY WITH THE FIRM.
AND APPLICATION FILED NOVEMBER 27, 1985 FOR CONVERSION.
LLER BE CENSURED AND FINED IN THE AMOUNT OF $2,000.
NONE
D OF THIRTY DAYS BY THE STATE OF GEORGIA.
TION TO SUPPORT THIS MATTER OTHER THAN WHAT IS BEING DISCLOSED AT THIS TIME.
UNDISCLOSED MONETARY FINE; ADMONISHMENT
90 DAY SUSPENSION
UE ORDER OF DENIAL OF REPRESENTATIVE'S APPLICATION FOR REGISTRATION DATED 6/1/1988. ORDER WAS ISSUED ON 8/15/1988.
OR THREE MONTHS AND TERMINATED FROM BACHE & CO.
ONLY CONSENT ORDER OF PROHIBITION 8/29/1991.
MS CONCERNING OPERATIONS, RECORD KEEPING AND TO SEEK CERTAIN, EXCHANGE RULE EXEMPTION.
ADMINISTRATIVE FEE OF $200. THIS INFORCEMENT ORDER SHALL EXPIRE AND BE OF NO EFFECT
12 MONTHS AFTER THE DATE OF ITS ISSUANCE.
NONE
REQUALIFICATION OF SERIES 24.
RY SUSPENSION DATED 12/07/94 WAS NOT VACATED BECAUSE WE WERE FOUND TO BE IN ERROR.
ERVISION AND SPECIAL NOTIFICATION OF COMPLAINTS OR OTHER DISCIPLINARY MATTERS FOR A PERIOD OF ONE YEAR. SAID INJUNCTIO
N OFFICIAL REPRIMAND DUE TO LACK OF PROPER REGISTRATION.
CENSURE.
VE FROM APRIL 16, 2001 TO APRIL 27, 2001.
ATED AS A SUPERVISOR IF I TOOK AND PASSED SERIES 24 & SERIES 4.
CONDITIONAL REGISTRATION
ORDERED TO HENCEFORTH COMPLY WITH THE VERMONT SECURITIES ACT
FIRM SUPERVISION ONLY
SPECIAL SUPERVISION ORDER
VENT CITED IN THE DENIAL WAS MORE THAN 14 YEARS AGO AND WAS NOT RELATED TO APPLICANT'S CURRENT FIRM.
$50,000 FINE AND $650,000 RESTITUTION ASSESSED AGAINST THE FIRM AND NOT THE INDIVIDUALS.
REPRIMAND & UNDERTAKING
DENIAL OF LICENSE
THE STATE OF OHIO, DIVISION OF SECURITIES TERMINATED AND RESCINDED ITS PRIOR NOTICE OF INTENT TO REVOKE OHIO L
ON 4/30/85.
OINTLY AND SEVERALLY
NONE
N/A
NONE
L SERVICES ADVISION RESPONDENT WAS NO LONGER ASSOCIATED WITH A BROKER/DEALER IN ANY CAPACITY DURING THE PERIOD OF TH
ORDER IMPOSING UNDERTAKING IN CONNECTION WITH REGISTRATION UNDER VERMONT SECURITIES ACT.
NINE-MONTH SUPERVISORY SUSPENSION.
AGREED THAT, FOR A PERIOD OF ONE (1) YEAR, AGENT'S ACTIVITIES IN STATE WOULD BE RESTRICTED SUCH THAT, AMONG OTHER THING
AGREED THAT, FOR A PERIOD OF ONE (1) YEAR, AGENT'S ACTIVITIES IN STATE WOULD BE RESTRICTED SUCH THAT, AMONG OTHER THING
STING DISCLOSURES ON HIS CRD. OHIO IS THE ONLY STATE THAT DENIED REGISTRATION TO AGENT DESPITE THE FACT THAT AGENT HAS
AGREED THAT AGENT'S ACTIVITIES IN STATE WOULD BE RESTRICTED SUCH THAT, AMONG OTHER THINGS, AGENT WOULD NOT EXERCISE
AGREED THAT AGENT'S ACTIVITIES IN THE COMMONWEALTH WOULD BE RESTRICTED SUCH THAT, AMONG OTHER THINGS, AGENT WOU
LICENSE SUSPENDED FOR NON-PAYMENT OF RENEWAL FEES, NON COMPLIANCE WITH CE REQUIRMENTS.
S UNDER HIS SUPERVISION AND CONTROL. ADMINISTRATIVE PROCEEDING NO. 3-5947
FINED AN UNDISCLOSED AMOUNT
ALLEDGED BY CBOE FOUND IN EXCHANGE RULE 4.1.
ORDER IMPOSING UNDERTAKINGS IN CONNECTION WITH REGISTRATION UNDER THE VERMONT SECURITIES ACT AND CONSE
D MONETARY FINE. NO ACTION AGAINST BROKER. FIRM AND BROKER NOW PROPERLY REGISTERED.
NONE
PAID A $20,OOO FINE AND A 30 DAY SUSPENSION TO SETTLE THE CLAIMS MADE BY THE SEC.
FORCEMENT ACTION, MR. EGGERS DECIDED TO SETTLE THE MATTER BY ENTERING INTO AN AGREEMENT OF ACCEPTANCE, WAIVER AND C
O PAY THEIR COSTS OF INVESTIGATION OF $1500.
RELATED TO NET CAP ISSUES.
JOINT AND SEVERAL FINE WITH B/D NOTED ABOVE OVER.
DISMISSAL
N/A
JOINT AND SEVERAL FINE WITH WUNDERLICH SECURITIES IN THE AMOUNT OF $30,000. MUST REQUALIFY FOR THE SERIES 24
UNDERTAKING
REPORTED TO THE STATE BY 02/15/2003. // SUSPENSION WAS NOT BASED ON AN ORDER ISSUED BY THE STATE REGULATORY AGENCY.
D MONETARY FINE. NO ACTION AGAINST BROKER.
RESTITUTION IN THE AMOUNT OF $24,450.00.
AGREED NOT TO RE-APPLY FOR REGISTRATION IN THE STATE OF ILLINOIS FOR A THREE YEAR PERIOD.
MR. RHEE IS PROHIBITED FROM APPLYING FOR REGISTRATION IN THE STATE OF MISSOURI FOR A PERIOD OF 5 YEARS.
30 BUSINESS-DAY SUSPENSION IN ANY PRINCIPAL CAPACITY.
CONSENT ORDER
SCRETION, UPON 10 DAYS NOTICE TO RESPONDENTS.
BRUARY 2008 AND ARE DENIED, ON A NUMBER OF LEGAL AND FACTUAL BASES.
69. CASEY'S CHECK WAS SENT TO THE NASD ON 9/27/04 FOR $5,000. HIS SUSPENSION STARTED ON 10/4/04 AND AFTER HE RETURNS, E
DISMISSAL
COSTS OF $2,354
BRUARY 2008 AND ARE DENIED, ON A NUMBER OF LEGAL AND FACTUAL BASES.
REPRIMAND
PROHIBITED FROM REGISTERING IN MO FOR 8 YRS
USPENSION IS FOR ALL THREE AT THE SAME TIME. STARTING 07/17 ENDING09/14/06. U6 FILED 06/19/06
RESPONDENT EXECUTED AN AWC WHEREIN HE WAS FINED $7,500 AND SUSPENDED FOR TEN (10) BUSINESS DAYS.
CONSENT ORDER OF WITHDRAWAL.
NO INDIVIDUAL PENALTIES ASSESSED AGAINST APPLICANT. FIRM
REQUIRED TO PAY ADMINISTRATIVE FINE/PEMALTIES AND OFFER RESCISSION TO INVESTORS.
APPLICANT SIGNED ORDER ON 11/8/2006.
QUARTERLY REPORTS TO TEXAS DEPT OF INS
CLASS ROOM CONTINUING ED
RESTITUTION
ADMINISTRATIVE PENALTY
BY NASD STAFF.
URED AND FINED $35,000, OF WHICH, $10,000 IS JOINTLY AND SEVERALLY.
N AWC, WAS CENSURED AND FINED $10,000.
NONE
2001 (TWO YEARS FROM ENTRY OF CONSENT ORDER OF WITHDRAWEL.)
NO INDIVIDUAL PENALTIES ASESSED AGAINST APPLICANT.
FIRM TO PAY ADMINISTRATIVE FINES/PENALTIES. RESCISSION TO INVESTORS. APPLICANT SIGNED
ORDER ON 11/8/2006.
##################################################################################
NONE
IMPOSITION OF "ORDER UNDERTAKING IN CONNECTION WITH REGISTRATION UNDER THE VERMONT SECURITIES ACT AND C
N/A
EGIN AT CLOSE OF BUSINESS ON 04/13/2001.
MR. WALKER WAS CENSURED AND ORDERED TO PAY $40,000.00 FINE AND $15,000.00 IN COSTS. A 15 DAY SUSPENSION WA
MARK WILBURN IS TO REIMBURSE THE BOARD OF ACCOUTANCY FOR ALL COSTS, $5,452.80, IF HE SEEKS REISSUANCE OF HIS
RETAKE AND PASS SERIES 24 PRINCIPAL EXAM. PLACED UNDER HEIGHTENED SUPERVISION BY FIRST ALLIED SECURITIES, INC.
I RECEIVED DISMISSAL FOR THIS MATTER.
I PAID A FINE OF $500.00 AND RECEIVED A NON-RES LICENSE IN S.C.
NNUITIES WITHOUT REASONABLE GROUNDS THEY WERE SUITABLE.
##################################################################################
THE SECURITIES AGENT LICENSE APPLICATION OF DANIEL G MULLEN HAS BEEN DENIED.
2 YEARS OF HEIGHTENED SUPERVISION
NONE
THE CONSENT ORDER DIRECTED BRIAN M. THORNTON TO CEASE AND DESIST FROM REGULATORY VIOLATIONS AND FINED HI
MY LETTER OF EXPLANATION HAD BEEN RECEIVED AND ACCEPTED. RECOMMENDATION WAS THAT I BE GRANTED REGISTRATION SUBJE
AN OFFER OF SETTLEMENT AND PAID A FINE OF $20,000
##################################################################################
HEIGHTENED SUPERVISION FOR SOLICITED MUTUAL FUND SALES FOR 12 MONTHS.
ORDER OF WITHDRAWAL.
EXTRAORDINARY EVENTS OF THE MARKET CRASH, LASTED THE ENTIRE DAY ON 10/20/1987.
ORDERED TO REQUALIFY
CONSENT ORDER OF WITHDRAWAL
IES TRANSACTIONS, RELIED UPON ADVICE FROM COMPLIANCE OFFICER OF MEMBER FIRM THAT HIS ACTIONS WERE PERMISSIBLE.
NONE
PETER NEWELL PAID A FINE OF C$40,000.00, INVESTIGATION COSTS OF C$4,500.00 AND SERVED SUSPENSION OF 45 DAYS
FINE OF $10,000.00 (CDN) & COSTS OF $10,000.00 (CDN)
FINE WAS JOINT AND SEVERAL AGAINST THE RESPONDENT AND T. J. RANEY & SONS, INC.
Y AND SEVERALLY.
D MONETARY FINE. NO ACTION AGAINST BROKER. FIRM AND BROKER NOW REGISTERED.
12.50 ARBITRATION FEE.
JOINT AND SEVERAL WITH THE FIRM. RESCISSION OFFER MADE.
M TO COMPENSATE THE CLIENT. THEY WOULD NOT COMPENSATE THE CLIENT WITH ANY OF THE OPTIONS I PRESENTED TO THEM AND I F
NONE
TO COMPLETE WITHIN SIX MONTHS OF THE DATE OF THE DECISION BECOMES FINAL, A COMPLIANCE COURSE REGARDING FI
LICENSE RESTRICTED FOR 2 YEARS.
ONS OR INACTIONS OF MR. TSIKITAS
TE OF ILLINOIS, NOT TO RE-APPLY FOR TWO YEARS AND TO PAY THE STATE $1,500 FOR THE COST OF THE INVESTIGATION BASED ON HIS D
##################################################################################
H THE NASD
REPRIMAND
NONE
WOULD NOT HAVE APPLIED FOR REGISTRATION HAD I KNOWN I WOULD HAVE BEEN AUTOMATICALLY DENIED
POSITION BY THE EXCHANGE OF A NINE-WEEK SUSPENSION, $40,000 FINE, AND A CENSURE FOR THE ALLEGED VIOLATION OF EXCHANGE
MR. HILLSTROM WAS SUSPENDED, CENSURED AND FINED BY THE NYSE. HE WAS CENSURED AND FINED BY THE STATE OF ILL
DENIED LICENSE
DAVE MULLENAX SHALL BE PERMITTED TO APPLY FOR REGISTRATION WITH AN ARKANSAS REGISTERED BROKER-DEALER THA
NONE
WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, REP ENTERED INTO CONSENT AGREEMENT AND CONTRIBUTE
REQUIRED TO ATTEND REGULATORY ELEMENTS 101 AND 106, REQUIRED CONTRIBUTION TO INVESTOR EDUCATION FUND IN
##################################################################################
ATED TO PRACTICE UPON COMPLETION OF ANNUAL CONTINUING LEGAL EDUCATION REQUIREMENT ON APRIL 24, 1997. I WAS NOT PRA
NONE
HIS PENDING UTAH REGISTERED ADVISOR STATUS IN A TIMELY MANNER, AS A RESULT THE UTAH DIVISION OF SECURITIES ISSUED A DENI
WITHDRAW REGISTRATION FROM ILLINOIS.
##################################################################################
WITHOUT ADMITTING OR DENYING ANY OF THE ALLEGATIONS, REP ENTERTED INTO CONSENT AGREEMENT AND CONTRIBUT
DISCIPLINARY ORDER REPRIMANDING AN AGENT AND UNDERTAKING
PENSION TO BE SERVED AT THE SAME TIME. FINE IS TO BE PAID ON INSTALLMENT. U6 ON 6/19/06.
OCEEDING BE RECINDED PROSPECTIVELY. SO ORDERED ON 01/22/2002
OCEEDING BE RECINDED PROSPECTIVELY. SO ORDERED ON 01/22/2002.
REGISTRATION AGREEMENT
REPRIMAND
REPRIMANDED
THE PARTIES AGREED TO A REPRIMAND FOR VIOLATING SEC. 501.41 AND SEC. 501.44 OF THE RULES OF PROFESSIONAL COND
REPRIMAND
ND/OR LEAVE A FORWARDING ADDRESS UPON MOVING.
NONE
LORENZO AGREES TO COOPERATE WITH THE DEPARTMENT IN RESOLVING MATTERS CURRENTLY EXISTING WITH DEPARTMEN
N DUE TO HIS DISCLOSURE HISTORY PRIOR TO JOINING JOHN THOMAS FINANCIAL. THE ORDER IS FOR 2 YEARS FROM DATE OF ENTRY 02/0
NONE
NONE
ORDER OF DENIAL
K A PLUMMER AND THOMAS E. TAPIA. ALL ORDERS WERE RESCINDED ON 9/24/02.
PROHIBITION ONLY. HEARING PENDING
ORDER WAS VACATED
THE CONSENT ORDER FINED ANDREW SIRVIS $500.00 AND DIRECTED HIM TO CEASE AND DESIST FROM REGULATORY VIOLAT
A FINE OF $50.00 WAS ORDERED TO BE PAID, AND WAS PAID BY KAPLAN FINANCIAL
PROBATION UNTIL NEXT RENEWAL DATE THAT ENDED APRIL 2004.
DON'T RECALL SOMETHING <$1000
NO OTHER PENALTIES INCURRED.
othrProd
CONSENTED TO THE ENTRY OF THE ORDER.
JOINT VENTURES
OIL AND GAS INVESTMENTS AND INVESTMENT BANKING & SECURITIES
ATEMENTS OR ANY OTHER REPRESENTATIONS TO THE DEPARTMENT OF INSURANCE OF FLORIDA) WHETHER IN ORAL OR WRITTEN FORM
STATE INVESTMENT ADVISOR CERTIFICATE
MUTUAL FUNDS
UNSPECIFIED TYPE OF FINANCIAL PRODUCT
BUSINESS DRUING THAT TIME UNDER THE CEASE AND DESIST ORDER
COMMON STOCK
CIATES PAID THIS AMOUNT AND SATISFIED ALL OTHER ASPECTS OF THIS AWC BY AUGUST 4, 2000.
IMMEDIATELY.
REIT
AUCTION RATE SECURITIES (ARS)
BONDS
GOVERNMENT SECURITIES
GENERAL SECURITIES
N/A
N/A
N/A
N/A
N/A
PRIVATE PLACEMENTS
SED THE EVIDENCE RELEVANT TO THE ALLEGATIONS AND ISSUED A TERMINATION AND RESCINDS THE DIVISION ORDER NO. 07-150 DATED
OFFER WAS LIMITED TO THE PAYMENT OF $1500 TO THE BUREAU. I DID NOT ADMIT TO ANY VIOLATIONS OF VIRGINIA LAW.
LY I AM WORKING WITH THE STATE OF NEW YORK TO RESOLVE THIS MATTER.
TO AVOID THESE VIOLATIONS IN THE FUTURE.
ORDER AND ANY OTHER UNAUTHORIZED INSURER AND RR SHALL BE PLACED ON PROBATION FOR ONE YEAR.
PRIVATE PLACEMENT DEBT & EQUITY
SEE #7
EQUITY - LISTED
EQUITY-OTC DEBT-CORPORATE DEBT-GOVERNMENT DEBT-MUNICIPAL MONEY MARKET FUNDS UNIT INVESTMENT TRUST
WHOLE LIFE
INVESTMENT ADVISORY SERVICES
MANAGED FUTURES FUNDS, EQUITY SECURITIES
PRIVATE SECURITIES TRANSACTION
DDP & LP INTERESTS
ANNUITIES
GOVERNMENT AGENCY SECURITIES
EQUITIES DONE ON A RISKLESS PRINCIPAL BASIS.
2 THE STATE OF KANSAS SUPREME COURT ENTERED AN ORDER REINSTATING MY LICENSE TO PRACTICE LAW.
PRIVATE STOCK
ERALLY (RUSHMORE SECURITIES AND CLARK) FOR VIOLATION OF ARTICLE III, SECTION 1 OF THE RULES OF FAIR PRACTICE.
MENT AND TESTIFY TRUTHFULLY IN CONNECTION WITH ANY DISCIPLINARY PROCEEDINGS RELATING TO MATTERS SET FORTH IN THE STIPU
VIATICAL SETTLEMENT
FIXED INCOME SECURITIES.
AND PROVIDE A SWORN AFFIDAVIT IN WHICH HE ATTESTS THAT THE ACTIVITIES HAVE BEEN COMPLETED. ALSO, MUST COMPLETE CRPC P
OFFER AND SALE OF FRACTIONALIZED INTERESTS IN VIATICAL AGREEMENTS IN TEXAS.
NO PRODUCT
TO THE SETTLEMENT FOR THE SOLE PURPOSE OF AVOIDING EXTENSIVE LITIGATION.
INVESTMENT BANKING
INVESTMENT BANKING
O A DETERMINATION ON THE MERITS BUT WITH THE ACTION PENDING.
STOCK LOAN TRANSACTIONS
STOCK
INVESTMENT BANKING
EQUITY-SYNDICATE
ADMINISTRATIVE PROCEEDING
LIFE INSURANCE
SECURITIES
SECURITIES
INVESTMENT ADVISORY SERVICES
PRIVATE SECURITIES TRANSACTIONS
WILL COUNTY SCHOOLS AND CREDIT UNIONS.
COMPANY'S BUSINESS CONSISTS EXCLUSIVELY OF PROVIDING INVESTMENT BANKING ADVICE IN CONNECTION WITH THE SAL
FIRST MORTGAGE CHURCH BONDS
VARIABLE PRODUCTS
DIRECT INVESTMENTS
DID NOT HAVE TO DO WITH A PARTICULAR PRODUCT. SUSPENDED FOR NOT FILING A COMPLAINT IN A TIMELY MATTER.
OMMENDING MORTGAGING INVESTORS HOME TO OBTAIN INVESTMENT ASSETS AND FROM ACTING IN A SUPERVISORY CAPACITY FOR T
AND RENEWAL IS COMPLETE.
STATE OF MASSACHUSETTS ONLY.
D THE MOST LOSSES WAS ORDERED WITHIN 90 DAYS OR, I.E., 29 NOVEMBER 2006.
NONE
STOCKS
EQUITY INDEXED ANNUITIES AND LIFE INSURANCE
PRIVATE SECURITIES TRANSACTION
CE MY LICENSING SUSPENSION.
STOCKS
SECURITIES
N/A
OR APPROVAL BY THE VIRGINIA DIVISION OF SECURITIES AND RETAIL FRANCHISING. 2) AGREED NOT TO VIOLATE THE ACT IN THE FUTUR
EQUITY-OTC,DEBT-MUNICIPAL AND DIRECT INVESTMENT
GENERAL SECURITIES BROKER, ONLINE SERVICES.
MUNICIPAL BONDS, EQUITY SECURITIES
EQUIREMENT WITHIN 120 DAYS OF ISSUANCE OF THE CONSENT ORDER.
EQUIREMENT WITHIN 120 DAYS OF ISSUANCE OF THE CONSENT ORDER.
ERTAIN POLICIES AND PROCEDURES AND ENSURE COMPLIANCE WITH THE ORDER AS PRINCIPAL OF THE FIRM.
UNKNOWN
REAL ESTATE LIMITED PARNTERSHIPS.
EQUITY SECURITIES
SECURITIES
SECURITIES
VIOLATIONS
AUCTION RATE SECURITIES (ARS)
301:6-3-19(D) (G) AND (9) AND OF OHIO REVISED CODE SECTION 1707.19CA
NG. NO FURTHER ACTION PENDING AS A RESULT OF THE LICENSE BEING WITHDRAWN.
RESEARCH REPORTS
RESEARCH REPORTS
O THEM ON 3/29/06.
LICENSED. PREVIOUS ORDER OF CENSURE AND PROHIBITION ISSUED ON 9/24/05 WAS VACATED.
BOOKS AND RECORDS
UNREGISTERED STOCK IN A PRIVATE OKLAHOMA CORP.
HEDGE FUNDS
VIATICAL SETTLEMENTS
LIMITED PARTNERSHIPS
LIMITED PARTNERSHIPS
ADVERTISING
RESEARCH REPORTS
COIN-OPERATATED, CUSTOMER-OWNED TELEPHONE PROGRAMS
ANCIAL DAMAGES AND RESULTED IN "NOLLE PROSSE".
PRIVATE ACCOUNT MANAGEMENT
H LED TO A VIOLATION OF CONDUCT RULE 2110.
THE PRODUCT WAS EQUIPMENT LEASING LIMITED PARTNERSHIPS.
INVESTMENT ADVISORY SERVICES
NO PRODUCT- FAILURE TO PAY FINE AND COSTS
ESE TRADES WERE APPROVED BY THE PRINCIPAL AS WAS REQUIRED.
EQUITY - LISTED
MUTUAL FUNDS
IPO
PENALTY ON MR. TENPENNY FOR NOT REPORTING TO THE COMMISSIONER THE DISPLINARY ACTION TAKEN BY NEBRASKA INSURANCE DE
FIRST MORTGAGE CHURCH BONDS
UIREMENT THAT HE COMPLETE A TRAINING COURSE.
PERIOD OF TWO(2)YEARS.
LIMITED PARTNERSHIPS
LIMITED PARTNERSHIPS, JUNK BONDS, CALS OPTION AND MARGIN ACCOUNTS.
REIT
ALL SECURITIES BUSINESS
SYNDICATE
NOT PROVIDED
MUNICIPAL SECURITIES
AUCTION RATE SECURITIES (ARS)
DAY TRADING ACTIVITIES
INVESTMENTS OUTSIDE THE SCOPE OF THE FIRM.
DINGS OF FACT AND CONCLUSION OF LAW
ENSE AND REQUIRED QUARTERLY REPORTS SUBMITTED BY MY COMPLIANCE OFFICER FOR ONE YEAR.
ER WITH WHICH I WAS APPOINTED AND THE DEPARTMENT OF EACH STATE IN WHICH I WAS LICENSED WITH A COPY OF THE OHIO CONSE
INSURANCE
ER AND WAS ADDED TO THE EXISTING LIFE LICENSE WITHOUT FURTHER ACTION REQUESTED OF ME.
NOT SPECIFIED
TRANSACTIONS. NASD EXAM FOUND NO MISAPPROPRIATION OF FUNDS (NOT 1 PENNY!)
EQUITIES
N/A
NOT PROVIDED.
ACAT TRANSFERS
LIQUIDATION OF STOCKS, BONDS AND MUTUAL FUNDS
HIRING OF AN UNREGISTERED AGENT.
STOCK OF SCIENTIFIC CONTROL CORPORATION
CK DATED 08/23/2001, MAILED US EXPRESS 08/24/2001.
RED BY THE DEPARTMENT IN THIS MATTER, IN THE AMOUNT OF $250.00.
NOT AVAILABLE
NOT AVAILABLE
NOT AVAILABLE
NOT AVAILABLE
EQUITY
PRIVATE OFFERINGS
FORM FILING
UNKNOWN
UNKNOWN
UNKNOWN
GENERAL SECURITIES
NOT PROVIDED
STOCKS
ER WAS ISSUED ON 8/15/1988.
SECURITIES
AUCTION RATE SECURITIES
LIMITED PARTNERSHIP OWNING STORAGE FACILITY IN COLORADO.
OD OF ONE YEAR. SAID INJUNCTION WAS VACATED ON 3/16/93 (GA DOCKET/CASE # C88986
INDIANA REVOKED MY LICENSE DUE TO GEORGIA SUSPENDING MY LICENSE
NO PRODUCT
IPO
SECURITIES
S CURRENT FIRM.
INVESTMENT ADVISER
OTICE OF INTENT TO REVOKE OHIO LICENSE AFTER MR. KNUTSON AGREED TO WITHDRAW HIS OHIO SECURITIES SALESPERSON'S LICENSE A
NONE
EQUITY LISTED
BONDS
PACITY DURING THE PERIOD OF THE SUSPENSION.
T SECURITIES ACT.
SUCH THAT, AMONG OTHER THINGS, AGENT WOULD NOT ACT IN A SUPERVISORY CAPACITY
SUCH THAT, AMONG OTHER THINGS, AGENT WOULD NOT ACT IN A SUPERVISORY CAPACITY.
ESPITE THE FACT THAT AGENT HAS NEVER HAD ANY CLIENTS IN THE STATE OF OHIO.
NGS, AGENT WOULD NOT EXERCISE DISCRETION OR ACT IN A SUPERVISORY CAPACITY
MONG OTHER THINGS, AGENT WOULD NOT EXERCISE DISCRETION.
UPDATING U-4
REQUIRMENTS.
PARTNERSHIPS
PARTNERSHIPS
MONT SECURITIES ACT AND CONSENT TO SAME.
LIFE AND HEALTH
RIA
EQUITIES, UNIT INVESTMENT TRUSTS
UNIT TRUSTS AND EQUITIES
SPECIFICALLY: REGISTERED NOTES AND PREFERRED STOCK NOT TRADED ON AN EXCHANGE: ONYX ACCEPTANCE CORPORATIO
AWC COVERED THREE OFFERINGS OF REGISTERED (NON-CUSIP) SECURITIES; 2 WERE SUBORDINATED NOTES AND 1 WAS PRE
457(B) DEFERRED COMPENSATION PLAN
WHOLE LIFE INSURANCE, UNIVERSAL LIFE INSURANCE, ANNUITIES
N/A
PRIVATE PLACEMENT
MUST REQUALIFY FOR THE SERIES 24 PRINCIPAL CAPACITY.
ANNUITY(IES) - FIXED, ANNUITY(IES) - VARIABLE
I FOR A PERIOD OF 5 YEARS.
AUCTION RATE SECURITIES (ARS)
SPECIFICALLY: REGISTERED NOTES NOT TRADED ON AN EXCHANGE FOR ONYX ACCEPTANCE CORPORATION AND METRIS COM
AWC COVERED THREE OFFERINGS OF REGISTERED (NON-CUSIP) SECURITIES; 2 WERE SUBORDINATED NOTES AND 1 WAS PRE
AUCTION RATE SECURITIES (ARS)
SECURITIES
TEN (10) BUSINESS DAYS.
REIT'S.
HEALTH INSURANCE
N/A--FAILURE TO REPORT ADMINISTRATIVE ACTION
PREFERRED SHARES OF STOCK
E VERMONT SECURITIES ACT AND CONSENT TO THE SAME".
N/A
EMPLOYER FUNDS
INTERESTS
HEDGE FUND
STOCK; MUTUAL FUNDS
COSTS. A 15 DAY SUSPENSION WAS WAIVED PROVIDED HE COMPLIED WITH THE ORDER.
0, IF HE SEEKS REISSUANCE OF HIS CPA LICENSE.
VIATICALS.
HE WAS ACTING AS A TRADER, TRADING OTC AND NY FOR VARIOUS BROKERS, THIS WAS AN ADMINISTRATIVE EVENT
N BY FIRST ALLIED SECURITIES, INC.
EQITIES
UNSPECIFIED SECURITIES
HEDGE FUNDS
ORDER OF DENIAL OF SECURITIES AGENTS LICENSE APPLICATION.
LATORY VIOLATIONS AND FINED HIM $1000.
LISTED EQUITIES
BE GRANTED REGISTRATION SUBJECT TO A REPRIMAND.
OEX INDEX OPTIONS
ANNUITIES- FIXED.
INSURANCE.
PRIVATE PLACEMENTS
LIMITED PARTNERSHIP INTERESTS SECURITY
LOANS
EQUITIES
HIGH YIELD NOTE
HIGH YIELD NOTE
MATERIAL MISSTATEMENT IN THE APPLICATION FOR A LICENSE.
VARIABLE PRODUCTS
PRODUCT NOT RELEVANT TO ENFORCEMENT ACTION
ONS I PRESENTED TO THEM AND I FELT I HAD AN OBLIGATION TO THE CLIENT TO MAKE THE CLIENT WHOLE.
LEGAL PRACTICE
OMPLIANCE COURSE REGARDING FINANCIAL AND OR OPERATIONAL RULES AND REGULATIONS FOR BROKER DEALERS.
UNSPECIFIED TYPE OF FINANCIAL PRODUCT
HE INVESTIGATION BASED ON HIS DECEMBER 20, 2005 NASD WAIVER AND CONSENT.
THERE WAS NO PRODUCT. MY PROFESSION AT THAT TIME INVOLVED ONLY THE PROVIDING OF LEGAL SERVICES.
NOT APPLICABLE. THIS INCIDENT DOES NOT RELATE TO ANY SALE OF PRODUCTS OR INVESTMENT RELATED ACTIVITY.
STOCK
LIFE INSURANCE
EQUITY LISTED
OTC AND EQUITY LISTED STOCKS
ALLEGED VIOLATION OF EXCHANGE RULES 472.30(I) AND 476(A)(6).
ED AND FINED BY THE STATE OF ILLINOIS BASED ON HIS PRIOR SANCTION BY THE NYSE.
S REGISTERED BROKER-DEALER THAT WILL PROVIDE ON-SITE SUPERVISION BY A LISCENSED BRANCH SUPERVISOR (SERIES 24) FOR A MINIM
ENT AGREEMENT AND CONTRIBUTED $10,000 TOWARD RESTITUTION. REP FURTHER AGREED TO WITHDRAW HIS REGISTRATION FROM TH
MARGIN
STOCK
ON APRIL 24, 1997. I WAS NOT PRACTICING LAW DURING THAT TIME.
SION OF SECURITIES ISSUED A DENIAL.
COMMON STOCK
FIXED ANNUITIES, INVESTMENT CONTRACTS, MONEY MARKET FUNDS, MUTUAL FUNDS.
SENT AGREEMENT AND CONTRIBUTED $10,000 TOWARD RESTITUTION. REP FURTHER AGREED TO WITHDRAW REGISTRATION FROM MON
PRIVATE PLACEMENTS
PRIVATE PLACEMENTS
THE RULES OF PROFESSIONAL CONDUCT (AS AMENDED, NOVEMBER 17, 1982).
MUTUAL FUNDS
RENTLY EXISTING WITH DEPARTMENT ABOUT WHICH HE HAS KNOWLEDGE; WITHDRAW HIS SECURITIES REGISTRATION IN MONTANA AND
2 YEARS FROM DATE OF ENTRY 02/07/2008.
NONE
U.S. TREASURY NOTES FUTURES CONTRACTS
VARIABLE ANNUITY
VARIABLE ANNUITY
VARIABLE ANNUITY
INSURANCE
LIFE AND HEALTH
OIL & GAS INTERESTS
OIL & GAS INTERESTS
NA
DESIST FROM REGULATORY VIOLATIONS.
LEGAL SERVICES
dtInitExp
ETHER IN ORAL OR WRITTEN FORM, ARE TRUE AND ACCURATE?
ON OR ABOUT 12/87
DO NOT RECALL DETAILES
DATE IS APPORXIMATE. EXACT DATE OF INITIATION IS UNKNOWN.
THE ACTION WAS NEVER AN OFFICIAL INVESTIGATION OR INQUIRY. NO WELLS LETTER WAS ISSUED.
FINDINGS DURING THE FIRM'S 2002 ROUTINE EXAMINATION BY NASD
EARLY 2005 WHEN APPLYING TO REVIEW ALABAMA INSURANCE LICENSE
DIVISION ORDER NO. 07-150 DATED MAY 24, 2007 WITHOUT PREJUDICE.
DISCUSSIONS WERE ONGOING THROUGH NOVEMBER 2000
NO EXACT DAY WAS GIVEN
UNDS UNIT INVESTMENT TRUST
CASE WRITTEN IN 1984 - COMPLAINT MADE IN 1995.
DATE INFORMATION REQUEST RECEIVED
OF FAIR PRACTICE.
MATTERS SET FORTH IN THE STIPULATION AND CONSENT.
ED. ALSO, MUST COMPLETE CRPC PROGRAM AND PASS EXAM WITH IN ONE YEAR.
DATE IS ACCURATE TO THE BEST OF MY KNOWLEDGE.
EXACT DATE AWC INITIATED UNKNOWN.
DATE INFORMATION REQUEST RECEIVED
MATTER AROSE OF A ROUTINE EXAM WHICH CONCLUDED IN MARCH, 1999.
PRIOR TO JUNE 1990
SECURITIES AMERICA, INC. BECAME AWARE OF THIS MATTER AS PART OF THE ALLEGATIONS PER A REQUESTED HEARING BY
PER THE CONSENT AGREEMENT, 07/03/2003 IS THE DATE THAT THE SUPERVISOR OF LICENSING FOR THE MAINE BUREAU OF
NO CASE OR INVESTIGATION WAS INITIATED. VIRGINIA REQUIRES A CONSENT ORDER WHEN ISSUING A LICENSE WITH SPECIA
THIS MATTER WAS PREVIOUSLY DISCLOSED AS AN INVESTIGATION WITH A CORRESPONDING INVESTIGATION DRP.
ICE IN CONNECTION WITH THE SALES OF BUSINESSES, RIGHTS OFFERINGS BY A CLOSED-END BOND FUND, THE PLACEMENT OF PREFERRE
MPLAINT IN A TIMELY MATTER.
IN A SUPERVISORY CAPACITY FOR TWO YEARS.
BROKER PAID THE FINE ON 09/01/89 ($5,000.00) THE ACTUAL OFFENSE FOR WHICH THE BROKER WAS FINED OCCURED IN 19
##################################################################################
FIRM NOTIFIED ON THIS DATE 10/28/08
TO VIOLATE THE ACT IN THE FUTURE AND 3) WILL PAY $1000.00 IN COSTS OF INVESTIGATION.
DATE OF REVISED TRANSMITTAL OF LETTER OF AWC.
DATE CORRESPONDENCE RECEIVED FROM FLORIDA O.F.R.
BOARD ISSUED LETTER
ON OR ABOUT 01/01/1996
MR. FIELD AND STIS RECEIVED A LETTER OF INQUIRY ON SUCH DATE
EXACT DATE AWC INITIATED UNKNOWN
ORIGINALLY FILED AS INVESTIGATION DRP IN ERROR.
EXACT DATE AWC INITIATED UNKNOWN
THE SUSPENSION OF THE LICENSE UNDER WHICH I WAS A REGISTERED PRINCIPAL TOOK PLACE SOMETIME IN 1981.
TAKEN BY NEBRASKA INSURANCE DEPARTMENT ON AUGUST 19, 1996.
##################################################################################
DATE GIVEN WAS 1982
EXACT DATE AWC INITIATED UNKNOWN
DATE AWC WAS SIGNED
THERE WAS NO EXACT INITIATED DATE PROVIDED.
NOT SURE OF SPECIFIC DATE - CONSENT ORDER STATES 8/5/2005
THIS IS THE DATE THE CONSENT ORDER WAS SIGNED BY DANIEL BRUNETTE
THERE WAS NO EXACT INITIATED DATE PROVIDED.
SOMETIEM AFTER 7/92, SHORTLY AFTER NET CAPITAL VIOLATION OCCURED
EXACT DATE AWC INITIATED UNKNOWN
EXACT DATE UNKNOWN
DUE TO THE AGE OF THE ITEM, THE EXACT DATE IS NOT KNOWN.
DUE TO THE AGE OF THE ITEM, THE EXACT DATE IS NOT KNOWN.
THIS IS THE RESOLUTION DATE AS THERE WAS NO EXACT INITITATED DATE.
DATE ORDER WAS SIGNED.
THE NOTICE WAS DATED AUGUST 10, 2007, BUT RESPONDENT DID NOT RECEIVE A COPY UNTIL AUGUST 27, 2007.
ORDER DATE 9/27/1989 MODIFIED ON OR ABOUT 3/23/1990
THIS MATTER WAS RESOLVED BY STIPULATION OF FACTS AND CONSENT TO PENALTY, WHICH BECAME EFFECTIVE ON 4/12/0
LETTER WAS SENT 9/3/08. BRANCH REC'D 9/9/08
AN EXACT INITIATED DATE WAS NOT PROVIDED.
DATE GIVEN WAS MAY 1972
DATE GIVEN WAS SUMMER OF 1960
AROUND 1996 MY KY INSURANCE LICENSE WAS SUSPENDED FOR FAILURE TO COMPLETE A CONTINUING EDUCATION REQUIR
NOTICE OF HEARING SIGNED ON 8/22, BUT NOT RECEIVED BY FIRM UNTIL 8/25.
E: ONYX ACCEPTANCE CORPORATION AND METRIS COMPANIES NOTES; AND CENEX HARVEST STATES COOPERATIVES 8% PREFERRED STO
ORDINATED NOTES AND 1 WAS PREFERRED STOCK.
THIS IS AN APPROXIMATE DATE DURING THE ONSITE AUDIT.
NOT SURE OF EXACT DATE
CE CORPORATION AND METRIS COMPANIES; AND CENEX HARVEST STATES COOPERATIVES 8% PREFERRED STOCK.
ORDINATED NOTES AND 1 WAS PREFERRED STOCK.
AN ADMINISTRATIVE EVENT
DATE THE NASD SIGNED AWC
DATE THE STATE OF ILLINOIS ENTERED THE ORDER
JANUARY, 1991 IS WHEN DEPT OF INSURANCE RECEIVED EVIDENCE OF UNPROPER LICENSING
DATE RECEIVED
I DO NOT HAVE ANY PAPERWORK SHOWING THE EXACT DATE. BASED ON INFORMATION I DO HAVE THE INITIATION DATE AP
11/22/1993 & 11/23/1993
UNKNOW WHEN FDIC INITIATED INVESTIGATION/PROCEEDING.
EXACT DATE AWC INITIATED UNKNOWN
BEST INFORMATION AVAILABLE FROM THE STATE OF FLORIDA
OKER DEALERS.
ORDER ISSUED REVOKING CALIFORNIA INSURANCE LICENSE DATE 05/01/2000, EFFECTIVE 05/31/2000.
EXACT DATE AWC INTIATED UNKNOWN
THE PROCEEDINGS OF THE STATE BAR OF SOUTH DAKOTA WERE INITIATED I BELIEVE ABOUT OCTOBER OR NOVEMBER OF 19
STMENT RELATED ACTIVITY.
NO FORMAL ACTION WAS EVER COMMENCED; PARTIES ENTERED INTO AN AWC
EXACT DATE UNKNOWN
UPERVISOR (SERIES 24) FOR A MINIMUM PERIOD OF TWELVE(12) MONTHS.
RECEIVED LETTER ON OR ABOUT THIS DATE (SEE INVESTIGATION DRP)
HDRAW HIS REGISTRATION FROM THE STATE OF MONTANA.
HDRAW REGISTRATION FROM MONTANA.
THIS IS THE DATE OF AN OFFICE EXAMINATION THAT STARTED THE STATE OF FLORIDA TO DO A FURTHER EXAMINATION THA
IN TRYING TO UPDATE OUR FIRM AND INDIVIDUAL LICENSES FOR 2004 IT WAS DISCOVERED DURING THE PROCESS THAT OUR
ACTION WAS INTIATED AS A RESULT OF A ROUTINE, UNANNOUNCED FIELD INSPECTION BY THE STAFF OF THE TEXAS STATE S
DATE OF THE LETTER FROM THE STATE OF WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE NOTIFYING OF THE DE
S REGISTRATION IN MONTANA AND TO NOT APPLY FOR SECURITIES LICENSING FOR A PERIOD OF TWO (2) YEARS.
UNAWARE OF EXACT DATE OF INVOLUNTARY REVOCATION
I AM UNAWARE OF THE DATE THE SUSPENSION OCCURRED, BUT I BELIEVE IT WAS IN SEPTEMBER 2001. I BECAME AWARE O
ADMINISTRATIVE ACTION INITIATED DURING RENEWAL PROCESS, UNSURE OF EXACT DATE. ALABAMA SHOULD HAVE BEEN N
DON'T RECALL YEAR OR DATE RECEIVED NOTICE OF ACTION & FINE FOR NOT RENEWING INSURANCE AGENTS LICENCE
rsltnDtExp
I DO NOT RECALL THE DATES
DATE FILED BY NASD - DATE RECEIVED BY MR. AVERY WAS 1/5/05
DATE OF COMMISSION ACTION
DATE NOT GIVEN; DATE SUSPENSION STARTED USED
DATE IS ACCURATE TO THE BEST OF MY KNOWLEDGE.
DATE OF COMMISSION ACTION
NS PER A REQUESTED HEARING BY THE STATE OF CALIFORNIA REGARDING REP'S PENDING INSURANCE APPLICATION IN CALIFORNIA.
09/26/2003 IS THE DATE OF THE LAST SIGNATURE ON THE CONSENT AGREEMENT FOR DOCKET #INS 03-423.
EN ISSUING A LICENSE WITH SPECIAL SUPERVISION. CONSENT ORDER SIGNED BY MR. KRAMER ON 6/22/2005
EXACT RESOLUTION DATE UNKNOWN
NG INVESTIGATION DRP.
ND, THE PLACEMENT OF PREFERRED STOCK BY A CLOSED-END BOND FUND AND SIMILAR TRANSACTIONS.
BROKER THINKS THE DATE HE PAID THE FINE WAS ON 09/01/1989. THE DATE OF PAYMENT COULD HAVE BEEN A LITTLE BEFO
NO HEARING HAS BEEN REQUESTED. WE HAVE BEEN ADVISED THAT THIS CEASE & DESIST ONLY AFFECTS THE ABOVE NAMED
TEXAS STATE BOARD OF PUBLIC ACCOUNTANCY RESCINDED SUSPENSION UPON SUBMISSION OF FORMS FOR CONTINUING E
ON OR ABOUT 01/01/1996
THIS IS CURRENTLY UNDER APPEAL WITH DEPARTMENT OF INSURANCE, IOWA
SUSPENSION BY STATE LIFTED AFTER PAPERWORK WAS FILED.
DECISION WAS MADE 12/15/03 AND BECAME FINAL 20 DAYS LATER.
MR. JIM NIX, THE ATTORNEY AT THE STATE OF ILLINOIS HANDLING THE MATTER ADVISED ME THAT THE MATTER WAS CLOSE
DATE GIVEN WAS 1982
DATE AWC WAS ACCEPTED BY FINRA
TWO WEEK SUSPENSION - NOTICE OF SUSPENSION ISSUED 6/16/80
THIS IS THE DATE THE CONSENT ORDER WAS SIGNED BY THE SUPERINTENDENT OF INSURANCE
DUE TO THE AGE OF THE ITEM, THE EXACT DATE IS NOT KNOWN.
DUE TO THE AGE OF THE ITEM, THE EXACT DATE IS NOT KNOWN.
DATE ONKNOWN
DATE ONKNOWN
EXACT DATE UNAVAILABLE AT THIS POINT IN TIME.
##################################################################################
DATE TX-SSB DISCIPLINARY ORDER WAS SIGNED.
UNTIL AUGUST 27, 2007.
ICH BECAME EFFECTIVE ON 4/12/02
DATE GIVEN WAS MAY 1972
DATE GIVEN WAS SUMMER OF 1960
1996 RETESTED AND LICENSE WAS REINSTATED
EXACT DATE UNKNOWN
COOPERATIVES 8% PREFERRED STOCK.
DATE UPDATED LICENSE WAS RECEIVED AND UPDATED BY THRIVENT FINANCIAL FOR LUTHERANS
THIS DATE REFLECTS RECEIPT OF A CONSENT ORDER BETWEEN MR. RHEE & THE STATE OF MISSOURI, AMENDING AN 11/29/
DATE OF NOTICE OF ACCEPTANCE OF OFFER OF SETTLEMENT LETTER FROM PAMELA SHU, REGIONAL COUNSEL, NASD
RECEIVED VIA CERTIFIED MAIL ON OR ABOUT SAID DATE.
DATE THAT REP SUBMITTED PAYMENT OF FINE TO THE STATE OF COLORADO. THE STATE OF COLORADO DOES NOT ISSUE A F
TO THE BEST OF MY KNOWLEDGE SOMEWHERE ARUND THIS TIME.
RECEIVED ADMINISTRATIVE ORDER VIA CERTIFIED MAIL ON OR ABOUT SAID DATE.
CPA LICENSE REVOKED
DATE NASD SIGNED AWC
DO HAVE THE INITIATION DATE APPEARS TO BE EARLY JANUARY 1996
BEST INFORMATION AVAILABLE FROM THE STATE OF FLORIDA
05/31/2000.
UT OCTOBER OR NOVEMBER OF 1996, AND ITS RECOMMENDATION AND FINDINGS WERE REPORTED TO THE COURT THEREAFTER, PROBA
DO NOT RECALL WHAT OUTCOME WAS. SPOKE WITH ARKANSAS DEPT INSURANCE 8/15/2003. DEPT STATES HE MUST HAVE
DID NOT REAPPLY FOR PA LICENSE UNTIL PROBATION ENDED 03/24/2002
A REPRESENTATIVE OF THE BOARD VONFIRMED TO GUILBEAUX THAT THE BOARD HAD ACCEPTED HIS CONSENT TO THE BOAR
AWAITING FORMAL STIPULATION TO ENTER CONSENT ORDER OF WITHDRAWAL FROM ILLINOIS
THIS ORDER WILL CEASE JUNE 15,2008 WHICH WOULD BE THE LAST PAYMENT OF THE 10 PAYMENT IN THE AMOUNT OF $15
DO A FURTHER EXAMINATION THAT HAS BEEN GOING ON SINCE 5/2006
ED DURING THE PROCESS THAT OUR LICENSE FOR 2003 HAD NEVER BEEN RENEWED BY THE STATE. DURING THE FOLLOWING MONTHS TH
THE DATE WAS BETWEEN SEPT 14 AND SEPT 26. THE ORDER PAGE, AS SIGNED, HAD NOT BEEN NOTARIZED AND WAS RETURN
DATE OF THE LETTER FROM THE STATE OF WISCONSIN OFFICE OF THE COMMISSIONER OF INSURANCE NOTIFYING OF THE DE
AS PER #3, UNAWARE OF EXACT DATE
I DO NOT RECALL THE EXACT DATE ON WHICH I INQUIRED AS TO MY STATUS AT THE TEXAS BAR. I KNOW THAT IT WAS IN OC
I AM UNAWARE OF THE EXACT DATE THAT THE FINE OF $50.00 WAS ASSESSED.
STATUS PENDING.
CURRENTLY IN THE PROCESS OF PAYING THE FEES ACCORDINGLY.
TOO LONG AGO EITHER HAPPENED IN LATE 90'S OR EARLY 2000
appld
NONE
N/A
N/A
N/A
APPLICATION IN CALIFORNIA.
CKET #INS 03-423.
NT COULD HAVE BEEN A LITTLE BEFORE OR A LITTLE AFTER 09/01/1989.
N/A
N/A
ONLY AFFECTS THE ABOVE NAMED PROJECT AND WILL NOT PREVENT OFFERS AND SALES ON SUBSEQUENT OFFERINGS.
ON OF FORMS FOR CONTINUING EDUCATION.
N/A
DEPARTMENT OF INSURANCE
MOTION TO VACATE IS ON APPEAL BEFORE THE SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK. DATE
STATE OF FLORIDA FIRST DISTRICT COURT OF APPEAL ON AUGUST 20,2008.
ME THAT THE MATTER WAS CLOSED WITHOUT ACTION.
N/A
N/A
N/A
ALASKA SUPERIOR COURT ON 9/27/2004
N/A
F MISSOURI, AMENDING AN 11/29/2004 PRIOR RESOLUTION OF THIS MATTER (CASE # DID NOT CHANGE).
CROSS-APPEAL, MAY 25, 2007 APPEALED TO THE NAC ON 05/23/2007
REGIONAL COUNSEL, NASD
OF COLORADO DOES NOT ISSUE A FINAL CLOSING LETTER BUT REP HAS AN ACTIVE COLORADO LICENSE NOW.
N/A
N/A
N/A
TO THE COURT THEREAFTER, PROBABLY IN 1997.
APPEALLED SEPTEMBER 1991. DO NOT RECALL WHAT OUTCOME WAS. SPOKE WITH ARKANSAS DEPT INSURANCE 8/15/2003
CEPTED HIS CONSENT TO THE BOARD'S DECREE.
APPEAL FILED: ON 4/24/2006 ENTERED CONSENT ORDER OF WITHDRAWL. RESPONDENT AGREED TO WITHDRAW HIS SALSP
REINSTATED.
PAYMENT IN THE AMOUNT OF $150.00
RING THE FOLLOWING MONTHS THE STATE BROUGHT THIS ACTION AS CONDITION TO OUR RENEWALS.
BEEN NOTARIZED AND WAS RETURNED FOR COMPLETION ON SEPT 14, WITH A RETURN DUE DATE OF SEPT 26.
INSURANCE NOTIFYING OF THE DENIAL.
N/A
S BAR. I KNOW THAT IT WAS IN OCTOBER OR NOVEMBER 2001.
PETITION FOR HEARING WAS RECEIVED BY THE DIVISION ON 10/21/02; A NOTICE OF HEARING WAS ISSUED ON 10/29/02
NA
rgltrInit2 rgltrNm3 snctnSghtBarFl
STATEJURIS STATE OF CALIFORNIA N
STATEJURIS STATE OF CALIFORNIA N
STATEJURIS STATE OF TEXAS N
STATEJURIS STATE OF TEXAS N
SEC SECURITIES AND EXCHANGE COMMISSION N
SEC SECURITIES AND EXCHANGE COMMISSION N
STATEJURIS CALIFORNIA DEPARTMENT OF INSURANCE N
STATEJURIS CALIFORNIA DEPARTMENT OF INSURANCE N
STATEJURIS OFFICE OF THE KANSAS SECURITIES COMMISSIONER N
STATEJURIS OFFICE OF THE KANSAS SECURITIES COMMISSIONER N
STATEJURIS COLORADO SECURITIES COMMISSIONER N
STATEJURIS COLORADO SECURITIES COMMISSIONER N
SRO FINRA N
SRO FINRA N
UENT OFFERINGS.
STATEJURIS TEXAS STATE SECURITIES BOARD N
STATEJURIS TEXAS STATE SECURITIES BOARD N
YORK COUNTY OF NEW YORK. DATE FILED MAY 12, 2005
SRO NYSE N
SRO NYSE N
SRO NYSE N
SRO NATIONAL ASSOCIATION OF SECURITIES DEALERS N
SRO NATIONAL ASSOCIATION OF SECURITIES DEALERS N
STATEJURIS ILLINOIS SECURITIES DEPARTMENT N
STATEJURIS ILLINOIS SECURITIES DEPARTMENT N
STATEJURIS TEXAS N
STATEJURIS TEXAS N
SRO FINRA N
SRO FINRA N
SRO FINRA N
SRO FINRA N
SRO NASD N
SRO NASD N
SRO NASD N
OTHER NEW YORK STATE UNIFIED COURT SYSTEM N
OTHER NEW YORK STATE UNIFIED COURT SYSTEM N
SRO NASD N
SRO NASD N
NSAS DEPT INSURANCE 8/15/2003. DEPT STATES HE MUST HAVE PAID THE FINE SINCE HE CURRENTLY HAS AN ACTIVE LICENSE WITH THE
AGREED TO WITHDRAW HIS SALSPERSON REGISTRATION AND TO NOT REAPPLY FOR A PERIOD OF TWO (2) YEARS.
RING WAS ISSUED ON 10/29/02
snctnSghtCeaseFl snctnSghtCnsrFl snctnSghtCivilPnltyFl snctnSghtDnlFl
N N N N
N N N N
N N Y N
N N Y N
Y N N N
Y N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
Y N Y N
Y N Y N
N N Y N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N Y N
N N N N
N N N N
N N Y N
N N Y N
RRENTLY HAS AN ACTIVE LICENSE WITH THEM.
D OF TWO (2) YEARS.
snctnSghtDsgrtFl snctnSghtXplsnFl snctnSghtMntryPnltyFl snctnSghtPhbtnFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N Y
N N N Y
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
snctnSghtRprmdFl snctnSghtRqualFl snctnSghtRsssnFl snctnSghtRsttnFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
N N N Y
N N N Y
N N N Y
N N N N
N N N N
N N N N
N N N N
snctnSghtNdtkgFl snctnSghtRvctnFl snctnSghtSpnsnFl snctnSghtOthrFl dtInit4
N Y N N 8/5/1994
N Y N N 8/5/1994
N N N N 12/30/2008
N N N N 12/30/2008
N N Y N 12/6/1991
N N Y N 12/6/1991
N N N Y 8/23/1994
N N N Y 8/23/1994
N N N N 4/12/2007
N N N N 4/12/2007
N Y Y N 3/18/2008
N Y Y N 3/18/2008
N N N Y 5/11/2009
N N N Y 5/11/2009
N Y N N 5/20/2009
N Y N N 5/20/2009
N N Y Y 8/12/1987
N N Y Y 8/12/1987
N N Y Y 8/12/1987
N N Y N 1/9/2004
N N Y N 1/9/2004
N N N N 5/13/2009
N N N N 5/13/2009
N N N N 4/17/2009
N N N N 4/17/2009
N N N Y 5/28/2009
N N N Y 5/28/2009
N N N N 11/22/2006
N N N N 11/22/2006
N N Y N 8/10/2005
N N Y N 8/10/2005
N N Y N 8/10/2005
N N Y N 10/12/2006
N N Y N 10/12/2006
N N Y N 2/19/2004
N N Y N 2/19/2004
caseNb5 empOrg6
UNKNOWN NONE
UNKNOWN NONE
IC08-CAF-22 RG ADVISORS INC.
IC08-CAF-22 RG ADVISORS INC.
ADMINISTRATIVE PROCEEDING FILE NO. 3-7622 SHEARSON LEHMAN BROTHERS, INC.
ADMINISTRATIVE PROCEEDING FILE NO. 3-7622 SHEARSON LEHMAN BROTHERS, INC.
95-CS-02732 LEHMAN BROTHERS INC.
95-CS-02732 LEHMAN BROTHERS INC.
09E015/2007-5356 MAIN STREET SECURITIES, LLC
09E015/2007-5356 MAIN STREET SECURITIES, LLC
XY 2008-002 CAPITAL SECURITIES OF AMERICA, INC.
XY 2008-002 CAPITAL SECURITIES OF AMERICA, INC.
2007009413701 MERRILL LYNCH
2007009413701 MERRILL LYNCH
312-09-4245/09-IC04 FOX FINANCIAL MANAGEMENT
312-09-4245/09-IC04 FOX FINANCIAL MANAGEMENT
HPD 90-107 PAINEWEBBER
HPD 90-107 PAINEWEBBER
HPD 90-107 PAINEWEBBER
AWC C04040003 FBD INVESTMENTS
AWC C04040003 FBD INVESTMENTS
0700550 ITRADEDIRECT.COM
0700550 ITRADEDIRECT.COM
IC09-CAF-09 CALANDRO ADVISORY SERVICES, INC.
IC09-CAF-09 CALANDRO ADVISORY SERVICES, INC.
2007011348301 BROOKSTREET SECURITIES CORPORATION
2007011348301 BROOKSTREET SECURITIES CORPORATION
2006003678601 SALOMON GREY FINANCIAL CORPORATION
2006003678601 SALOMON GREY FINANCIAL CORPORATION
E9B2003033501 CONTINENTAL SECURITIES
E9B2003033501 CONTINENTAL SECURITIES
E9B2003033501 CONTINENTAL SECURITIES
M-3061 MERRILL LYNCH PIERCE FENNER & SMITH
M-3061 MERRILL LYNCH PIERCE FENNER & SMITH
CLI040001 CONTINENTAL BROKER-DEALER CORP.
CLI040001 CONTINENTAL BROKER-DEALER CORP.
prdctNoPrdctFl prdctAnntyChtblFl prdctAnntyFixedFl prdctAnntyVrblFl
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
Y N N N
Y N N N
N N N N
N N N N
prdctBankgPrdctNoCdFl prdctCdFl prdctCmdtyOptnFl prdctDebtAssetBckdFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
prdctDebtCrprtFl prdctDebtGovtFl prdctDebtMncplFl prdctDrvtFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N Y N N
N Y N N
Y N N N
Y N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
prdctDrctNvsmtDppLpIntrsFl prdctEquipLsngFl prdctEqtyLstdFl prdctEqtyOtcFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N Y
N N N Y
N N N Y
N N N N
N N N N
N N Y N
N N Y N
prdctFtrsCmdtyFl prdctFtrsFnnclFl prdctIndxOptnFl prdctNsrnFl prdctNvsmtCntrcFl
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
prdctMoneyMktFundFl prdctMtlFundFl prdctOilGasFl prdctOptnFl prdctPnnyStockFl
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N Y N N N
N Y N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
prdctPrimeBankNtrmtFl prdctPrmsyNoteFl prdctReScrtyFl prdctScrtyFtrsFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
prdctUnitNvsmtTrustFl prdctVtclStlmtFl prdctOthrPrdctFl
N N N
N N N
N N Y
N N Y
N N Y
N N Y
N N N
N N N
N N N
N N N
N N N
N N N
N N N
N N N
N N Y
N N Y
N N Y
N N Y
N N Y
N N N
N N N
N N N
N N N
N N Y
N N Y
N N Y
N N Y
N N N
N N N
N N N
N N N
N N N
N N N
N N N
N N N
N N N
allgtns7
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FAILURE TO REPORT PRIOR ADMINISTRATIVE
ACTION. THE DEPARTMENT CHARGED THAT I FAILED TO DISCLOSE THE
SEC SUSPENSION REPORTED ON THE PREVIOUS CRD WHEN RENEWING MY
INSURANCE LICENSE IN 1992.
FAILURE TO REPORT PRIOR ADMINISTRATIVE
ACTION. THE DEPARTMENT CHARGED THAT I FAILED TO DISCLOSE THE
SEC SUSPENSION REPORTED ON THE PREVIOUS CRD WHEN RENEWING MY
INSURANCE LICENSE IN 1992.
MR. MECKENSTOCK FAILED TO REASONABLY SUPERVISE AN AGENT.
MR. MECKENSTOCK FAILED TO REASONABLY SUPERVISE AN AGENT.
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FINRA COMPLAINT ALLEGING FINANCIAL ADVISOR VIOLATED NASD CONDUCT RULES 2310 AND 2110 IN CONNECTION WITH T
FINRA COMPLAINT ALLEGING FINANCIAL ADVISOR VIOLATED NASD CONDUCT RULES 2310 AND 2110 IN CONNECTION WITH T
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VIOLATION OF NYSE RULE 476 (A) (6)
VIOLATION OF NYSE RULE 476 (A) (6)
VIOLATION OF NYSE RULE 476 (A) (6)
LACK OF SUPERVISION
LACK OF SUPERVISION
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NON-PAYMENT OF FEES
NON-PAYMENT OF FEES
NASD RULE 2110- RESPONDENT ENGAGED IN TRANSACTIONS IN THE ACCOUNTS OF PUBLIC CUSTOMERS WITHOUT THEIR PR
NASD RULE 2110- RESPONDENT ENGAGED IN TRANSACTIONS IN THE ACCOUNTS OF PUBLIC CUSTOMERS WITHOUT THEIR PR
crntSt8 rsltn9 rsltnDt10 fnlOrd11 snctnDtlBarPermFl snctnDtlBarTempFl
FINAL DECISION 8/5/1994 Y N N
FINAL DECISION 8/5/1994 Y N N
FINAL ORDER 12/30/2008 Y N N
FINAL ORDER 12/30/2008 Y N N
FINAL CONSENT 12/9/1991 N N N
FINAL CONSENT 12/9/1991 N N N
FINAL DECISION 7/23/1996 N N N
FINAL DECISION 7/23/1996 N N N
FINAL STIPCONS 6/3/2009 N N N
FINAL STIPCONS 6/3/2009 N N N
FINAL AWC 6/1/2009 N N N
FINAL AWC 6/1/2009 N N N
PENDING N N
PENDING N N
PENDING N N
PENDING N N
FINAL CONSENT 11/23/1990 N N N
FINAL CONSENT 11/23/1990 N N N
FINAL CONSENT 11/23/1990 N N N
FINAL AWC 1/9/2004 N N N
FINAL AWC 1/9/2004 N N N
PENDING N N
PENDING N N
FINAL ORDER 4/17/2009 Y N N
FINAL ORDER 4/17/2009 Y N N
PENDING N N
PENDING N N
FINAL AWC 4/25/2008 Y N N
FINAL AWC 4/25/2008 Y N N
FINAL OFFERSETTLE 3/16/2006 N N N
FINAL OFFERSETTLE 3/16/2006 N N N
FINAL OFFERSETTLE 3/16/2006 N N N
FINAL OTHER 11/13/2006 N N N
FINAL OTHER 11/13/2006 N N N
FINAL SETTLMNT 9/30/2004 N N N
FINAL SETTLMNT 9/30/2004 N N N
snctnDtlCeaseFl snctnDtlCnsrFl12 snctnDtlCivilPnltyFl snctnDtlDnlFl snctnDtlDsgrtFl
N N N N N
N N N N N
N N Y N N
N N Y N N
Y N N N N
Y N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N Y Y N N
N Y Y N N
N Y Y N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N Y N N
N N Y N N
N N Y N N
N N N N N
N N N N N
N N Y N N
N N Y N N
snctnDtlXplsnFl snctnDtlMntryPnltyFl snctnDtlPhbtnFl snctnDtlRprmLtrFl
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N Y N
N N Y N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N Y N N
N Y N N
N N N N
N N N N
N Y N N
N Y N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
N N N N
snctnDtlRqualFl snctnDtlRsssnFl snctnDtlRsttnFl snctnDtlRvctnFl snctnDtlSpnsnFl13
N N N N N
N N N N N
N N N N N
N N N N N
N N N N Y
N N N N Y
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N Y
N N N N Y
N N N N Y
N N N N Y
N N N N Y
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N N N N
N N Y N Y
N N Y N Y
N N Y N Y
N N N N Y
N N N N Y
N N N N Y
N N N N Y
snctnDtlNdtkgFl
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
othrSnctnOrd14
N/A
N/A
REPRIMAND/UNDERTAKING
REPRIMAND/UNDERTAKING
RESTRICTION FOR THREE YEARS. MUST REPORT ANY CUSTOMER COMPLAINT REGARDING INSURANCE OR SECURITIES TO CA
RESTRICTION FOR THREE YEARS. MUST REPORT ANY CUSTOMER COMPLAINT REGARDING INSURANCE OR SECURITIES TO CA
MR. MECKENSTOCK AGREES TO RETEST FOR THE SERIES 24 EXAMINATION.
MR. MECKENSTOCK AGREES TO RETEST FOR THE SERIES 24 EXAMINATION.
REPRIMAND
REPRIMAND
cmmnt15
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AFTER A 150-DAY TIME PERIOD FROM THE RESOLUTION DATE OF 6-3-09, IF MR. MECKENSTOCK HAS NOT PASSED THE SERIES
AFTER A 150-DAY TIME PERIOD FROM THE RESOLUTION DATE OF 6-3-09, IF MR. MECKENSTOCK HAS NOT PASSED THE SERIES
MR. CLINE, IN ORDER TO RESOLVE THIS MATTER WITHOUT RESORTING TO THE COSTS AND TRIBULATIONS INHERENT IN A FO
MR. CLINE, IN ORDER TO RESOLVE THIS MATTER WITHOUT RESORTING TO THE COSTS AND TRIBULATIONS INHERENT IN A FO
I DENY ALL OF THE ALLEGATIONS AND WILL DEFEND MYSELF TO THE FULLEST.
I DENY ALL OF THE ALLEGATIONS AND WILL DEFEND MYSELF TO THE FULLEST.
WITHOUT ADMITTING OR DENYING GUILT, I STIPULATED
TO HAVING MISMARKED MY TRADING POSITION ON APRIL 25, 1986. AS
THE EXCHANGE HEARING PANEL FOUND, THIS WAS AN ISOLATED INCIDENT
WHICH I BROUGHT TO MY FIRM'S ATTENTION THE FOLLOWING BUSINESS
DAY.
WITHOUT ADMITTING OR DENYING GUILT, I STIPULATED
TO HAVING MISMARKED MY TRADING POSITION ON APRIL 25, 1986. AS
THE EXCHANGE HEARING PANEL FOUND, THIS WAS AN ISOLATED INCIDENT
WHICH I BROUGHT TO MY FIRM'S ATTENTION THE FOLLOWING BUSINESS
DAY.
WITHOUT ADMITTING OR DENYING GUILT, I STIPULATED
TO HAVING MISMARKED MY TRADING POSITION ON APRIL 25, 1986. AS
THE EXCHANGE HEARING PANEL FOUND, THIS WAS AN ISOLATED INCIDENT
WHICH I BROUGHT TO MY FIRM'S ATTENTION THE FOLLOWING BUSINESS
DAY.
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DUE TO AN UNINTENTIONAL ERROR BY KENNETH DEREK THOMSON'S BROKER DEALER, SMH CAPITAL INC., K. DEREK THOMSO
DUE TO AN UNINTENTIONAL ERROR BY KENNETH DEREK THOMSON'S BROKER DEALER, SMH CAPITAL INC., K. DEREK THOMSO
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prdctOthrExp snctnSghtOthrExp pndngRstrnFl
INVESTMENT ADVICE
INVESTMENT ADVICE
INVESTMENT ADVISORY
INVESTMENT ADVISORY
RESTRICTION
RESTRICTION
STOCK HAS NOT PASSED THE SERIES 24, HIS LICENSE WILL BE SUSPENDED UNTIL HE SUCCESSFULLY PASSES THE SERIES 24.
STOCK HAS NOT PASSED THE SERIES 24, HIS LICENSE WILL BE SUSPENDED UNTIL HE SUCCESSFULLY PASSES THE SERIES 24.
D TRIBULATIONS INHERENT IN A FORMAL HEARING, AGREED TO ENTER INTO A CONSENT ORDER.
D TRIBULATIONS INHERENT IN A FORMAL HEARING, AGREED TO ENTER INTO A CONSENT ORDER.
COSTS N
COSTS N
ZERO COUPON BOND N
ZERO COUPON BOND N
U.S. TREASURY SECURITIES CENSURE
U.S. TREASURY SECURITIES CENSURE
U.S. TREASURY SECURITIES CENSURE
N
N
INVESTMENT ADVISORY SERVICES
INVESTMENT ADVISORY SERVICES
COLLATERALIZED MORTGAGE OBLIGATIONS N/A N
COLLATERALIZED MORTGAGE OBLIGATIONS N/A N
N
N
dtInitExp16
ULLY PASSES THE SERIES 24.
ULLY PASSES THE SERIES 24.
LICENSE TO PRACTICE LAW WAS SUSPENDED DUE TO NON-PAYMENT OF FEES. INDIVIDUAL DOES NOT PRACTICE LAW AND DO
LICENSE TO PRACTICE LAW WAS SUSPENDED DUE TO NON-PAYMENT OF FEES. INDIVIDUAL DOES NOT PRACTICE LAW AND DO
rsltnDtlOthrExp
SUSPENDED LICENSE
SUSPENDED LICENSE
rsltnDtExp17 seqNb
132
68
70
190
5
NO FURTHER ACTION - INDIVIDUAL IS SUSPENDED FROM THE PRACTICE OF LAW. 197
NO FURTHER ACTION - INDIVIDUAL IS SUSPENDED FROM THE PRACTICE OF LAW.
6
snctnTypeCd
SUS
SUS
SUS
SUS
SUS
SUS
SUS
cpctyAfctd
ASSOCIATION WITH ANY BROKER, DEALER, INVESTMENT ADVISOR, OR INVESTMENT COMPANY
MEMBERSHIP, ALLIED MEMBERSHIP, APPROVED PERSON STATUS, AND FROM EMPLOYMENT OR ASSOCIATION WITH A MEM
TRADING FOR EMPLOYER'S PROPRIETARY ACCOUNTS OR IN ANY WAY SHARING IN EMPLOYER'S PROFITS DERIVED FROM PRO
GENERAL SECURITIES PRINCIPAL
GENERAL SECURITIES REPRESENTATIVE
NONE
GENERAL SECURITIES REPRESENTATIVE
drtn startDt endDt
NINE MONTHS 12/16/1991 9/16/1992
1 MONTH 11/23/1990 12/23/1990
3 MONTHS 11/23/1990 2/23/1991
30 DAYS 3/1/2004 4/1/2004
60 DAYS 4/17/2006 7/11/2006
11/13/2006 - PRESENT 11/13/2006
45 DAYS 12/1/2004 1/15/2005
startDtExp
RECORDS RELATING TO THIS EVENT WERE DESTROYED IN THE ATTACKS ON 9/11, AND ACCORDINGLY AN EXACT DATE IS NOT
RECORDS RELATING TO THIS EVENT WERE DESTROYED IN THE ATTACKS ON 9/11, AND ACCORDINGLY AN EXACT DATE IS NOT
endDtExp
RECORDS RELATING TO THIS EVENT WERE DESTROYED IN THE ATTACKS ON 9/11, AND ACCORDINGLY AN EXACT DATE IS NOT
RECORDS RELATING TO THIS EVENT WERE DESTROYED IN THE ATTACKS ON 9/11, AND ACCORDINGLY AN EXACT DATE IS NOT
LICENSE IS CURRENTLY SUSPENDED.
drtnExp seqNb18 rqualTypeCd lngth examType
18 REQUALIFICATION 150 DAYS SERIES 24
18 REQUALIFICATION 150 DAYS SERIES 24
CORDINGLY AN EXACT DATE IS NOT KNOWN.
CORDINGLY AN EXACT DATE IS NOT KNOWN.
THE SUSPENSION IS ONGOING.
cndtnStsfd
N
N
exp
MR. MECKENSTOCK MUST RETEST AND SUCCESSFULLY PASS THE SERIES 24 EXAM WITHIN 150 DAYS FROM THE DATE OF THE
MR. MECKENSTOCK MUST RETEST AND SUCCESSFULLY PASS THE SERIES 24 EXAM WITHIN 150 DAYS FROM THE DATE OF THE
seqNb19 mntrySnctnTypeCd ttlAmt lvdAmt pmtPlanCrrntFl wvdFl dtPaid
39 CIVILADMINFINE 2500 2500 N N
150 DAYS FROM THE DATE OF THE ORDER. RESPONDENT SHALL PROVIDE WRITTEN PROOF OF PASSAGE TO STAFF OF THE COMMISSION
153 CIVILADMINFINE 75000 75000 Y N 5/11/2009
49 CIVILADMINFINE 10000 10000 N 11/23/1990
9 CIVILADMINFINE 5000 5000 Y N 4/16/2009
280 MONETARYNOTFINE 5000 5000 Y N 6/19/2009
2 RESTITUTION 104073.05 104073.05 Y N
3 CIVILADMINFINE 10000 10000 Y N 7/11/2006
6 CIVILADMINFINE 20000 20000 Y N 1/15/2005
dtPaidExp
TAFF OF THE COMMISSIONER.
RECORDS RELATING TO THIS PAYMENT WERE DESTROYED IN THE ATTACKS ON 9/11, AND ACCORDINGLY AN EXACT DATE IS N
pmtPlan
ACCORDINGLY AN EXACT DATE IS NOT KNOWN.
YES
48 MONTHLY INSTALLMENTS
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