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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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
| 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 |
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| 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 |
| 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 |
| 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 |
| Walsh, Erik - CRD#2589145 |
Summary Revocation 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 |
