July 26, 2019 |
2015045254501 |
Richard O. White
|
Disciplinary Decision |
May 23, 2019 |
2014039285401 |
APPEALED:
Southeast Investments, N.C., Inc. & Frank Harmon Black
|
Disciplinary Decision |
May 22, 2019 |
2012030738501 |
APPEALED:
J.W. Korth and Company
|
Disciplinary Decision |
May 15, 2019 |
2016052347901 |
Austin Wayne Morton
|
Disciplinary Decision |
May 15, 2019 |
2015048362402 |
John Anthony Vedovino
|
Disciplinary Decision |
May 02, 2019 |
SD-2140 |
Stifel, Nicolaus & Co., Inc.
|
Statutory Disqualification, Approvals |
March 18, 2019 |
2016047565702 |
Dakota Securities & Bruce Zipper
|
Disciplinary Decision |
March 15, 2019 |
SD-2195 |
Scott Coy
|
Statutory Disqualification, Denials |
March 11, 2019 |
2010022977801r |
David B. Tysk
|
Disciplinary Decision |
March 07, 2019 |
SD-2148 |
Guy Wyser-Pratte
|
Statutory Disqualification, Denials |
March 05, 2019 |
2014039839101 |
Jim Jinkook Seol
|
Disciplinary Decision |
January 29, 2019 |
2015044823501, 2015044823502 |
Craig Scott Taddonio, Brent Morgan Porges, Edward Beyn
|
Disciplinary Decision |
January 16, 2019 |
2013035130101 |
APPEALED:
Cantone Research, Inc., Anthony Cantone, and Christine Cantone
|
Disciplinary Decision |
January 08, 2019 |
2015046759201 |
Todd B. Wyche
|
Disciplinary Decision |
January 08, 2019 |
2013037522501 |
APPEALED:
Trevor Michael Saliba, Sperry Randall Younger, Richard Daniel Tabizon, and Arthur Mansourian
|
Disciplinary Decision |
December 20, 2018 |
SD-2157 |
Allan Wolfe
|
Statutory Disqualification, Approvals |
November 29, 2018 |
SD-2095 |
Ronald B. Smith
|
Statutory Disqualification, Approvals |
November 21, 2018 |
SD-2203 |
Gates Capital Corporation
|
Statutory Disqualification, Approvals |
October 11, 2018 |
2012030731802 |
APPEALED:
William H. Murphy & Co., Inc., and William H. Murphy
|
Disciplinary Decision |
October 04, 2018 |
2013037401001 |
Stanley Clayton Niekras
|
Disciplinary Decision |
October 03, 2018 |
2012033832501 |
Matthew David Rubin
|
Disciplinary Decision |
October 02, 2018 |
2014042291901 |
APPEALED:
Gopi Krishna Vungarala
|
Disciplinary Decision |
August 17, 2018 |
SD-2151 |
Jesse B. Shelmire, IV with Stonegate Capital Markets, Inc.
|
Statutory Disqualification, Approvals |
July 20, 2018 |
2014041724601 |
APPEALED:
Scottsdale Capital Advisors Corporation, John Joseph Hurry, Timothy Brian DiBlasi, and Darrel Michael Cruz
|
Disciplinary Decision |
June 25, 2018 |
SD-2183 |
David Girton
|
Statutory Disqualification, Approvals |