June 02, 2022 |
2019063570502 |
APPEALED:
Matthew R. Logan
|
Disciplinary Decision |
March 28, 2022 |
SD-2296 |
Bolton Securities Corporation
|
Statutory Disqualification, Approvals |
March 16, 2022 |
2016047565702r |
APPEALED:
Dakota Securities International, Inc. and Bruce Martin Zipper
|
Disciplinary Decision |
December 16, 2021 |
2018059510201 |
APPEALED:
Thomas John Lykos, Jr.
|
Disciplinary Decision |
December 16, 2021 |
2016051615301 |
Partho S. Ghosh
|
Disciplinary Decision |
December 15, 2021 |
2016052104101 |
APPEALED:
Devin Lamarr Wicker
|
Disciplinary Decision |
December 01, 2021 |
SD-2277 |
Peter R. Serra with Joseph Gunnar & Co. LLC
|
Statutory Disqualification, Approvals |
October 25, 2021 |
SD-2279 |
Todd Wyche with San Blas Securities, LLC
|
Statutory Disqualification, Approvals |
October 21, 2021 |
SD-2259 |
Avery F. Byrd with San Blas Securities, LLC
|
Statutory Disqualification, Approvals |
October 07, 2021 |
SD-2242 |
Robert J. Greene, Jr. with Vanderbilt Securities
|
Statutory Disqualification, Approvals |
October 07, 2021 |
2016051493704 |
Jorge A. Reyes
|
Disciplinary Decision |
October 06, 2021 |
2018056848101 |
APPEALED:
Thomas Lee Johnson
|
Disciplinary Decision |
October 06, 2021 |
2016049565901 |
APPEALED:
Glendale Securities, Inc., George Alberto Castillo, Paul Eric Flesche, Albert Raymond Laubenstein and Jose Miguel Abadin
|
Disciplinary Decision |
September 30, 2021 |
2017054405401 |
APPEALED:
William Joseph Kielczewski
|
Disciplinary Decision |
September 27, 2021 |
2017053428201 |
APPEALED:
DreamFunded Marketplace
|
Disciplinary Decision |
August 31, 2021 |
ARB210001 |
Geoffrey Garratt
|
Expedited Decision |
July 09, 2021 |
SD-2249 |
Industrial and Commercial Bank of China Financial Services LLC
|
Statutory Disqualification, Approvals |
June 02, 2021 |
2013035345701 |
APPEALED:
Titan Securities, Brad C. Brooks, and Richard Wayne Demetriou
|
Disciplinary Decision |
June 02, 2021 |
M00010007 |
APPEALED:
In the Matter of the New Member Application of Applicant Firm
|
Membership Decision, Redacted Decision |
June 02, 2021 |
SD-2185 |
David A. Elgart
|
Statutory Disqualification, Approvals |
May 27, 2021 |
2017052871401 |
William James Potter
|
Disciplinary Decision |
May 26, 2021 |
2018058286901 |
APPEALED:
Wilfredo Felix
|
Disciplinary Decision |
April 20, 2021 |
SD-2218 |
Charles Schwab & Co., Inc.
|
Statutory Disqualification, Approvals |
March 10, 2021 |
2018059545201 |
APPEALED:
Robert Juan Escobio
|
Disciplinary Decision |
February 09, 2021 |
SD-2243 |
Wells Fargo Securities, LLC
|
Statutory Disqualification, Approvals |