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|
Enforcement
Actions |
| Aaron, Shawn E. - CRD#2596836 |
Summary Revocation Order |
| Abresch, John - CRD#2280271 |
Summary Revocation Order |
| Acchione, Samuel - CRD#2649560 |
Summary Bar Order |
| Affiliated Capital Partners |
Civil Action - Complaint |
| Allianz Dresdner Asset Management of America, P A Distributors
LLC, f/k/a Pimco Advisors Distributors LLC, PEA Capitol
LLC f/k/a Pimco Equity Advisors LLC, and Pacific Investment
Management Company LLC |
Consent Order and Final Judgement |
| Aloi, Vincent, Aloi, Ricki, Triple a Construction, Inc.,
United Consulting, LLC and Northeast Distribution Services,
Inc. |
Administrative Consent Order |
| American Express Financial Advisors Inc. - CRD#6363 |
Consent Order |
| American Investment Club Association Corp., Paul Okoye
Chuckwudi a/k/a Paul Chuck |
Consent Order |
| Amper Politzner and Mattia, P.C. |
Administrative Consent Order |
| Apgar, Justin E. |
Order and Final Judgement |
| Apgar, Justin E. |
Summary Order |
| AquaDyn Technologies, Inc. |
Summary Order |
| Archer, Lonzo - CRD#1979672 |
Revocation Order |
| Arlett, Alexis -CRD#1173235 |
Summary Bar Order |
| Banc of America, LLC |
Consent Order |
| Barone, Carl |
Consent Order |
| Barone, Carl; et al |
Administrative Action |
| Barone, Carl; Beninato, Joseph; Bimon, Stephen; Boscia,
Joseph; Braden, Thomas J.; Brown, Michael J.; Cenicola,
Pat; Chambers,Oscar K.; Clair, Joseph A.; Crowley, Edward
M.; D'ambola, Richard; Dehaven, Bruce; Fillweber, Gary;
Fleyzor, Michael; Franco, Kenneth J.; Guida, Frank; Larkin,
Stephen J.; Mccabe, Thomas; Moloney, Jack; Olsen, Oscar;
Prendergast, Michael; Perez, Frank; Petrulla, Michael; Philbin,
James P.; Prieto, Manuel; Santoro, John; Sloan, Jeffrey;
and Soto, Louis |
Administrative Complaint |
| Barone, Carl; D'Ambola, Richard et al Consent Order |
Consent Order |
| Barone, Carl; Prendergast, Michael; et al Consent Order |
Consent Order |
| Bear, Stearns & Co., Inc. |
Consent Order |
| Beigelman, Eugene - CRD#2636873 |
Summary Revocation Order |
| Beninato, Joseph |
Consent Order |
| Biocurex, Inc. |
Administrative Consent Order |
| Brennan, Kevin P. |
Summary Revocation and Penalty
Assesment Order |
| Bruno, John Anthony -CRD#1534511 |
Summary Bar Order |
| Byrne, Thomas Administrative Action - |
Final Decision and Order |
| Cabral, Ronnilo P. - CRD#1387489 |
Summary Bar Order |
| Callipari, Richard P. - CRD#2315693 |
Summary Bar Order |
| Calvert Group, The Calvert Fund -CRD#37527 |
Summary Order of Penalty
Assessment |
| Calvert Group, Socially Responsible Funds -CRD#37527 |
Summary Order of Penalty
Assessment |
| Canary Capital Partners |
Consent Order |
| Casey, Michael R. |
Civil Action -Consent Order |
| Chamberlain Worldwide, The Service Group, Nicholas Marinella
and Barbara Marinella |
Civil Action-Final Judgement |
| Chanin, Jay Eric -CRD#2655324 |
Consent Order |
| Charles Erb & Associates, Inc., CEA Financial Group,
Inc., Edward D. Angrisani and Charles D. Erb. |
Consent Order and Final Judgement
on Injuction and on Monetary Settlement; |
| Chicago Investment Group, LLC. |
Consent Order |
| Chung, Christopher; Brunnock, Kevin ; and Savino, William
|
Administrative Complaint;
Adminstrative Consent Order
|
| Citigroup Global Markets Inc. -CRD# 7059 |
Consent Order |
| Citigroup Global Markets Inc. |
Consent Order |
| Clark, Brian J. - CRD#1440175 |
Summary Revocation Order |
| Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis
|
Amended Administrative Complaint |
| Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis
|
Consent Order |
| Clearing Services of America, Inc., Jeffrey P. Cahn, Estate
of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz
and Gerard Sherlock - |
Consent Order as to Jeffrey
Cahn |
| Clearing Services of America, Inc., -Jeffrey P. Cahn,
Louis B. Mercaldo, William Schantz and Gerard Sherlock |
Consent Orderas to William
Schantz, Gerard Sherlock and Louis B. Mercaldo |
| Clearing Services of America, Inc., Jeffrey P. Calm, Estate
of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz
and Gerard Sherlock |
Final Decision and Order Adopting
the OAL Partial Summary Decision with Amendents |
| Clover Management Group, Inc., Clover Merchant Group,
LTD., Clover Defense Partners, L.P., Clover JCM Defense
Partners, LLC, Clover Capital Management, LLC, CMG Advisors,
LLC, Clover International Advisors, Herbert Mario Figueroa,
Carmine Russo, Thomas Russo and Michael Petrokansky a/k/a
Michael Petro |
Civil Action-Second Amended
Verified Complaint; Civil
Action-Order |
| Cobalt Investors Services, Inc., ABC Corp., a fictitious
business, XYZ Corp., a fictitious business, and Richard
Thomas Geck |
Entry of Default |
| CMR Management Group LLC; Michael D'Angelo, Diana D'Angelo,
Richard Sladek, Charles T. Barbero |
Civil Action - Order Granting Plaintiff
Preliminary Injunctive Relief and Ancillary Relief, and
Asset Freeze as to Certain Defendants |
| Cobalt Investors Services, Inc., ABC Corp., a fictitious
business, XYZ Corp., a fictitious business, Richard Thomas
Geck |
Verified Complaint |
| Conte, Frank J. -CRD#1305007 |
Revocation Order |
| Conway, Charles D. Inmate CRD#2814014 |
Summary Order |
| Cornerstone Ministries Investments, Inc. |
Stop Order |
| Cortellessa, Anthony Louis - CRD#54624 |
Summary Bar Order |
| Costabile, Douglas - CRD#2581223 |
Summary Revocation Order |
| Credit Suisse First Boston LLC f/ka Credit Suisse First
Boston Corporation - CRD#816 |
Consent Order |
| Crowley, Edward M. |
Consent Order |
| Cystal Sky Enterprises, LLC - |
Civil Action Complaint |
| Dacosta, Patrick |
Order |
| D'Angelo, Michael; D'Angelo, Diana; Sladek, Richard; Barbero,
Charles T.; CMR MNGT GROUP, LLC. |
Final Judgement and Consent
Order as to Defendant Michael D'Angelo |
| Delaney, Brian P. - CRD#2577944 |
Consent Order |
| Deutsche Bank Securities, Inc. |
Consent Order (05) ; Consent
Order (09) |
| D'Iorio, Paul - CRD#2594623 |
Consent Order |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Order of Final Judgement |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Request for Entrey of Default |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Notice of Motion |
| Digital Gas Inc, Michigan Corporation; Brian Smith, individually;
Lynn Smith, individually; and William Brown, - CRD#2594623
|
Civil Action - Verified
Complaint |
| Discovery Capital Group - CRD#29355 |
Summary Revocation Order |
| Eisenberg, Colin S. - CRD#2490217 |
Consent Order |
| Eisenstark, Jacob a/k/a Jay Eisenstark; a/k/a Eisenstark
Advisory Inc. Capital Management and as the principal and
Presiden of J.N.J. Capital Management, Inc.; Eisenstark,
Blanche; J.N.J. Capital Management, Inc; Eisenstark Advisory,
Inc. |
Civil Action- Order to
Show Cause Pursuant to Rule 4:52 |
| Farkas, Louis |
Consent Order |
| Ferrera, Gary J. CRD#2496815 |
Summary Revocation Order |
| Ferris, Baker, Watts Incorporated - CRD#285 |
Summary Order of Penalty Assessment
|
| Fikher, Ilya a/k/a Fisher, Ilya a/k/a Fisher, Elliot a/k/a
Fikher, Elliot a/k/a Elliot, Ilya CRD#2219242 |
Summary Bar Order |
| Fintz, Leon - CRD#2723092 |
Summary Revocation Order |
| Firestone, Joel |
Order of Final Judgement |
| Firestone, Joel |
Order Revoking Exemptions
and Assessing Civil Monetary Penalties |
| First Atlantic Financial, Inc. and Charles Sosinski, Jr.
|
Civil Action - Order |
| First Montauk Securities Corp. - CRD#13755 |
Consent Order |
| Fleyzor, Michael J. |
Civil Action- Consent Judgement
including Permanent Injunctive Relief |
| Forero, Alfonso -CRD#27971964 |
Order of Revocation |
| Frace, James M. - CRD#2629626 |
Summary Revocation Order |
| Franklin, Kenneth -CRD#1852819 |
Consent Order |
| Fronjian, Robert, RMF, Inc., and RMF Trading, LLC - |
Civil Action -Order Granting
Partical Summary Judgement In Favor of Plaintiffs |
| Fuchs, Gary M., GMF Enterprises, Inc., FNK Capital Management,
Inc., FNK Capital Partners Limited Partnership - |
Administrative Consent Order |
Gallagher, Daniel J. -CRD#2092711 and
Vision Securities Inc. |
Consent Order |
| Garrett, Andrew, Inc |
Summary Order of Penalty Assesment |
| Geck, Richard Thomas - |
Summary Bar Order |
| George F. Gaffney, Hurrican Products, Inc. |
Final Judgement by Consent |
| Giacomaro, Thomas - |
Summary Bar Order |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Brian D. Winters, et al as to Defendant Jeffrey
Winters |
Civil Action - Consent
Judgment |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Joan Potts, Brian D. Winters, et al - |
Civil Action Consent Order |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Joan Potts, Brian D. Winters, et al - as to Defendant Joan
Potts |
Civil Action Consent
Judgment and Final Judgement |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Laura Zemsky, Brian D. Winters, et al - as to Defendant
Laura Zemsky |
Civil Action Consent
Judgment and Final Judgement |
| Global Trading Investments, LLC., Wyndam Group, L.P.,
Brian D. Winters, Nicole Kearney, et al - as to Defendant
Michael Malley |
Civil Action Consent Judgment
and Final Judgement |
| Glowe & Co -IARD#120718 and Leon Glowe - CRD#1326501
|
Consent Order |
| Goldman, Sachs & Co - CRD#361 |
Consent Order |
| Gray, Ingrid |
Civil Action - Consent Judgment |
| Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.;
Estate of Vera Greenblatt, Jerome M. Rosenthal, Alexandra
Horvath, Maywood Capitol Corp., Maywood Management Corp.,
Tumblers, Inc., Tumblers II, Inc., AP Construction Associates,
Inc., et al |
Civil Action - Order for
Preliminary Injunction |
| Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.;
Estate of Vera Greenblatt, Jerome Rosenthal, Alexandra Horvath,
Maywood Capitol Coro., Maywood Management Corp., Tumblers,
Inc. et al |
Civil Action - Verified
Complaint |
| Hankins, James Jr.; The Hankins Group, Ltd., Hankins Private
Client Group, LLC, Hankins Life Settlement LLC., Dina Hankins
|
Civil Action- Order Granting
Plaintiff Preliminary Injunctive Relief;
Verified Complaint; EX
PARTE Order to Show Cause with Temporary Restraints Pursuant
to Rule 4:52; Consent
Order |
| Hayden, Matthew A. -CRD#2559471 |
Consent Order |
| Heritage Financial, Inc., David Cairns, Gordon Currie,
Richard Osbourne, Anthony Santoro, Donald Grant, Frank Molson,
the International Regulatory Commission et.al. - |
Plaintiffs' Second Order
to Show Cause with Temporary Restraints |
| Hersh, Mitchel CRD#874733 |
Summary Revocation Order |
| Investment Center, Inc., The CRD#17839 |
Consent
Order |
| J.P. Morgan Securities, Inc.- CRD#18718 |
Consent Order |
| J.P. Turner & Company, L.L.C.- CRD#43177 |
Consent Order |
| Jan Lewan Show Gifts, Inc., JRD Productions, Inc. a/k/a
The Amber Factory, Jan Lewandowski a/k/a Jan Lewan |
Order |
| Jesup & Lamont Securities Corp. -CRD#39056 |
Summary Order of Penalty Assessment |
| Joyce, Paul F. |
Civil Action - Consent and
Final Judgement including Permanent Injunctive Relief, Restitution
and Civil Monetary Penalties |
| Kairos Financial Corporation -CRD#139299 |
Summary Revocation Order |
| Kaminsky, Stanislav - CRD#2721200 |
Summary Revocation Order |
| Kelly, John H. |
Summary Revocation Order |
| Kelly, Michael. -CRD#1952241 |
Consent Order |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action Consent Order Appointing
Fiscal Monitor and Granting Other Ancillary Relief |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action Order Granting
Perliminary Injunction, Asset Freeze, Receivership, and
Other Ancillary Relief |
| Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group,
Inc., et.al. - |
Civil Action Order Granting
Perliminary Injunction, Asset Freeze, Receivership, and
Other Ancillary Relief |
| L H Ross and Company, Inc. CRD#37920 |
Summary Revocation Order |
| Lafferty, Jeffrey Scott CRD#2754865 |
Summary Revocation Order |
| Leffler, Stuart |
Civil Action - Consent Judgment |
| Lehman Brothers Inc. - CRD#7506 |
Consent Order |
| Lester, Christopher |
Consent Order |
| Lill, Kenneth A,; Thuring, Richard M., Medical Security
Card, Inc., MSC Professional Management Co., Inc. |
Consent Order and Final Judgement |
| Lipkin, Michael Valdimir |
Civil Action - Judgement |
| Lowe, Nadine |
Administrative Consent Order |
| Maguire Jr, William CRD#2040885 |
Order of Denial of Agent Registration |
| Maniloff, Lewis -CRD#318695 |
Consent Order |
| Markakis, William |
Summary Bar Order |
| Martinez, Marcos - CRD#2604427 |
Summary Revocation Order |
| Mathis, Scott L. CRD#1362203 |
Consent Order Vacating Order
of Denial of Agent Registration |
| Mathis, Scott L. CRD#1362203 |
Order of Denial of Agent Registration |
| Maturniak, Gregory - |
Consent Order |
| Maywood Capitol Corp., and Tumblers, Inc. |
Civil Action - Order |
| McCarty, Michael - CRD#1091017 |
Summary Revocation Order |
| McDermott, Mark |
Consent Order Under NJAC
1:1-19.1 |
| Mennella, Robert Mario -CRD#1949884 |
Consent Order of Postponement |
| Merrill Lynch, Pierce, Fenner & Smith Inc., |
Consent Order |
| Merrill Lynch, Pierce,
Fenner & Smith Inc., |
Consent Order |
| Millennium Interactive Technologies Corp. |
Final Judgment |
| Millennium Interactive Technologies Corporation - |
Stipulation and Warrant
to Satisfy Judgement |
| Milstein, Isaac |
Civil Action - Consent Judgment |
| Miller, Fred J., Affiliated Capital Partners, Capstone
Energy Corp., Commerical Tech, LLC., Eric Riedman &
Associates, M&R Capital Partners, LLC., Traders Commerical
Capital, LLC., Traders Resources Capital, LLC., General
Capital Partners, LLC. |
Civil Action - Complaint |
| MLC International Asset Management, Inc., Julio M. Crespo,
a/k/a Max Crespo, John M. Brew, SHB Holdings, Ltd., Luis
Figueroa, and Arnold Squitieri. |
Final Judgement by
Arnold Squitieri |
| Monahan, Thomas - CRD#1192627 |
Order of Denial of Agent Registration |
| Monahan, Thomas - CRD#1192627 |
Order of Denial of Agent Registration |
| Morgan Stanley & Co., Inc. - CRD#8209 |
Consent Order |
| Mowat, Victor CRD#341765 |
Summary Bar Order |
| Mutual Trust Company of America Securities |
Administrative Action Order
|
| Mutual Trust Company of America Securities |
Order for Penalty Assessment |
| Mutual Trust Company of America Securities |
Consent Order and Settlement
Agreement |
| Myers, Palmer J. |
Final Decision and Order Adopting
Initial Decision |
| Myers, Palmer J. |
Order Granting Partial Summary
Decision |
| Parker, Lamont Percell -CRD#2946241 |
Consent Order |
| Pecoraro, James Robert -CRD#2440231 |
Denial Order |
| Perpetual Securities, Inc., Cathy Y. Huang, Youwei Paul
Xu |
Administrative Complaint |
| Piersaint, Donax d/b/a CBC Express - |
Civil Action Complaint |
| Prudential Securities Incorporated a/k/a Prudential Equity
Group, LLC - |
Consent Order |
| Prosper Marketplace, Inc. |
Consent Order |
| RBC Capital Markets Corporation -CRD#31194 |
Consent Order |
| Racaniello, James M. - |
Final Decision and Order
Adopting the Initial Decision |
| Riedman, Eric, Affiliated Capital Partners, Capstone Energy
Corp., Commerical Tech, LLC., Eric Riedman & Associates,
M&R Capital Partners, LLC., Traders Commerical Capital,
LLC., Traders Resources Capital, LLC., General Capital Partners,
LLC. |
Civil Action - Complaint |
| |
|
| Richardson, Christopher J. - CRD#2041338 |
Administrative Complaint
and Order of Denial of Application for Agent Registration |
| Rivero CPA, LLC -CRD#129783 - |
Amended Order for Monetary
Penalties by Consent |
| Rivero, Lourdes -CRD#4739232 - |
Amended Order for Monetary
Penalties by Consent |
| Ruggiero, Kevin - CRD#2765188 |
Summary Bar Order |
| Sanducci, David -CRD#2370405 |
Revocation Order |
| Santoro, John |
Consent Order |
| Schloth, William; Somerset Financial Partners, Inc. |
Civil Action - Complaint |
| Seferian, Norair A. CRD#2674569 |
Summary Revocation Order |
| Scian, Michael R., Jr - |
Civil Action - Verified Complaint;
Order to Show Cause;
Amended Verified Complaint |
| Seferian, Norair A. CRD#2674569 |
Civil Action-Consent Judgement |
| Shahani, Jayant H. CRD#4533103 |
Summary Revocation Order |
| Shkedi, Nicole M. - CRD#3130873 |
Consent Order |
| Shui, Amy - CRD#707519 |
Summary Revocation Order |
| Sigma Capital Management, L.L.C., -CRD#127244; Satram
Chainani -CRD#2623294, |
Amended Order of Penalty Assessment
by Consent |
| Sigma Capital Management, L.L.C., -CRD#127244; Satram
Chainani -CRD#2623294, |
Order of Penalty Assessment |
| Smith, Maxwell Baldwin, III -CRD#600012 |
Consent Order |
| Solash, Robert H. -CRD#430218 - |
Order for Denial and Penalty
Assessment |
| Somerset Financial Partners, Inc.; Somerset Financial
Group, Inc.; Somerset Investment Management, LLC.; Somerset
Venture Partners, LLC.; and Somerset Venture Partners I,
LLC. |
Civil Action - Complaint |
| Spanlogix Corporation, et al. |
Civil Action- Consent Order
and Final Judgement as to Defendants Thomas D'Innocenzi
and Spanlogix Corporation |
| Specialized Autocore Services, Inc., A. Dean Braz |
Complaint |
| Specialized Autocore Services, Inc., A. Dean Braz - |
Civil Action Consent Judgement |
| Strahl, Brian Thomas a/k/a Brian Thomas Stahl CRD#2305920
|
Summary Bar Order |
| Subhan, Philip CRD#1244246 |
Summary Bar Order |
| Talbot, David A.; Schroy, Robert; Simmons, Kenneth; Worldwide
Marketing Network, Inc.; His Glory Worldwide, LLC.; Jesus
Rallies in Chicagoland, Inc. |
Civil Action - Verified Complaint;
Order Granting Plaintiff
Preliminary Injunctive Relief Against Defendants;
Final Judgement and Consent
Order as to Defendant Robert Schroy; Final
Judgement and Consent Order as to Defendant Kenneth Simmons
|
| Thomas Weisel Partners, LLC |
Consent Order |
| Thompson, Nicholas ; Somerset Financial Partners, Inc.
|
Civil Action - Complaint
|
| Toth, Douglas ; Somerset Financial Partners, Inc. |
Civil Action - Complaint |
| Trombatore, Frank and CMC Group, Ltd Consent Order |
Consent Order |
| UBS Financial Services Inc. |
Consent Order |
| UBS PaineWebber Inc. - CRD#8174 |
Consent Order |
| UBS Warburg LLC - CRD#7654 |
Consent Order |
| US Bancorp Piper Jaffray - CRD#665 |
Consent Order |
| Valore, Carl - |
Summary Bar Order |
| Vecchio, Frank Michael CRD#1537031 |
Summary Revocation Order |
| ViewTrade Financial Network, Inc., ViewTrade Securities,
Inc., Richard D. O'Reilly and Alfred "Archie"
G. Block |
Summary Order |
| Wachovia Securities, LLC. (AG Edwards & Sons, Inc.)
|
Consent Order |
| Wachovia Capital Markets, LLC. - |
Findings of Fact Conclusions
of Law Consent Order |
| Wagtowicz, John T. CRD#4310867 |
Revocation Order |
| WallStreet Electronica, Inc -CRD#43896; Carlos Francisco
Otalvaro-CRD#2294420; and Frank Charles Donnauro -CRD#1952493 |
Administrative Consent Order |
| Walsh, Erik - CRD#2589145 |
Summary Revocation Order |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Verified Complaint |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Order to Show Cause |
| Wellesley Services, LLC - f/k/a WS Survivor, LL; et al |
Consent Order |
| Wellesley Services, LLC - as to Defendant Dorian Hayes |
Consent Order and Final
Judgement |
| Wellesley Services, LLC - as to Defendant Thomas Giacomaro |
Consent Order and Final
Judgement |
| Wellesley Services, LLC - as to Defendant Anthony Bianco
and Keith Moody |
Consent Order and Final
Judgement |
| Wellesley Services, LLC - as to the Defendant Entities |
Consent Order and Final Judgement
|
| Wellesley Services, LLC - as to the Defendant Stephen
Funk |
Consent Order and Final
Judgement |
| White, Neil A. Administrative Action - |
Consent Order Under NJAC 1:1-19.1 |
| Winters, Brian D. and Global Trading Investments, LLC
|
Consent Order |
| Wiseman, David Allan CRD#859983 |
Summary Revocation Order |
| Wroble, Daniel R. - CRD#1413861 |
Order of Denial of Agent Registration |
