August 20, 2004 |
C10030003 |
In the Matter of Department of Enforcement, Complainant vs. Respondent Firm
|
Disciplinary Decision, Redacted Decision |
August 16, 2004 |
CAF010021 |
J. Alexander Securities, Inc.
|
Disciplinary Decision |
August 16, 2004 |
C01020025 |
Brookes McIntosh Bendetsen
|
Disciplinary Decision |
August 12, 2004 |
C9B020032 |
Rooney A. Sahai
|
Disciplinary Decision |
August 09, 2004 |
C01020025 |
Brookes McIntosh Bendetsen
|
Disciplinary Decision |
August 09, 2004 |
C3B020013 |
Christopher R. Van Dyk
|
Disciplinary Decision |
July 30, 2004 |
C06020003 |
Eric H. Dieffenbach and Michel A. Rooms
|
Disciplinary Decision |
May 13, 2004 |
C9A020052 |
Guang Lu
|
Disciplinary Decision |
May 11, 2004 |
C01020014 |
Paul Joseph Benz
|
Disciplinary Decision |
April 27, 2004 |
C10020060 |
Andrew C. Knight
|
Disciplinary Decision |
February 24, 2004 |
SD04017 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Other |
February 19, 2004 |
C3A010036 |
Castle Securities Corp. & Michael Studer
|
Disciplinary Decision |
January 01, 2004 |
SD04007 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04010 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04015 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04011 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Denials |
January 01, 2004 |
SD04004 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04008 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04013 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04001 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Denials |
January 01, 2004 |
SD04012 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Denials |
January 01, 2004 |
SD04006 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04009 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04014 |
In the Matter of the Continued Association of X
|
Redacted Decision, Statutory Disqualification, Approvals |
January 01, 2004 |
SD04003 |
In the Matter of the Association of X
|
Redacted Decision, Statutory Disqualification, Denials |