November 11, 2016 |
2013035533701 |
APPEALED:
Meyers Associates, L.P.
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November 04, 2016 |
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APPEALED:
Richard A. Riemer, Jr.
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November 04, 2016 |
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October 31, 2016 |
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Order Regarding Respondent’s Motions to Stay Case Management and Scheduling Order and to Strike and/or For a More Definite Statement.
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16-28 |
October 21, 2016 |
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Dickinson & Schneiter
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Disciplinary Decision - Default |
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October 18, 2016 |
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Disciplinary Decision - Default |
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October 17, 2016 |
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Disciplinary Decision - Default |
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October 17, 2016 |
2012030564701 |
APPEALED:
Newport Coast Securities, Inc., Douglas A. Leone, and Andre V. LaBarbera
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Disciplinary Decision |
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October 14, 2016 |
201303641201 |
Order Granting in Part and Denying in Part Enforcement’s Motion for Partial Summary Disposition
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16-27 |
October 11, 2016 |
2015044379701 |
Melissa M. Velasquez
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Disciplinary Decision |
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October 07, 2016 |
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Matthew DiGregorio
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Disciplinary Decision - Default |
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October 05, 2016 |
FPI160009 |
Donald Shelby Toomer
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Expedited Decision |
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September 20, 2016 |
2015044960501 |
APPEALED:
Avenir Financial Group, Michael Todd Clements, and Karim Ahmed Ibrahim
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Disciplinary Decision |
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September 13, 2016 |
2012033105901 |
Order Granting Department of Enforcement’s Motion to Strike Affirmative Defense.
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Disciplinary Order |
16-26 |
September 07, 2016 |
2013038986001 |
Order Denying Respondent’s Motion to Continue Hearing
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August 31, 2016 |
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Modesto Biney
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August 30, 2016 |
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Order Granting Enforcement’s Motion for Exception From Sequestration.
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16-24 |
August 29, 2016 |
ARB160009 |
Respondent
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Redacted Decision |
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August 24, 2016 |
20100226911-02 |
Bharminder Singh
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Disciplinary Decision |
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August 24, 2016 |
2014043020901 |
Order Granting Joint Motion to Permit Witnesses to Have Counsel Present During Testimony
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16-23 |
August 16, 2016 |
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William Eric Rice
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Disciplinary Decision - Default |
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August 15, 2016 |
2013038986001 |
Order Rejecting Offer of Settlement
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August 12, 2016 |
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Ronald Leslie Geffner
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August 09, 2016 |
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Joey Cless Broussard
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August 05, 2016 |
ARB160012 |
Fairbridge Capital Markets
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Expedited Decision |
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