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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
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
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
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