This Disciplinary Actions Archive contains listings of Disciplinary Actions dated from 1972 to 2005. Use the dropdown menu on the right to sort the list by year. A new format for displaying Disciplinary Actions was launched in 2006. The new list contains all Disciplinary Actions with an announcement date in 2006 or later.
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	All final Hearing Panel decisions from the inception of the Hearing Board in 1972 are available in pdf format. To view or print the pdf format, you can get the Acrobat Reader at no cost from Adobe.

	2005 Disciplinary Actions
	Hearing Panel Decision Number	Name
	05-190	Oppenheimer & Co. Inc. f/k/a Fahnestock & Co. Inc.
	05-181	Oppenheimer & Co. Inc.
	05-134	Randy S. Beller
	05-133	Beller Securities Corporation, Inc.
	05-119	Jason Andrew Bander
	05-118	Alan Earl Morris
	05-117	Suzanne Marie Forcher
	05-116	Maria Adriana Cordova
	05-115	Raymond Burton
	05-113	Frank J. Furino
	05-112	Nomura Securities International Inc.
	05-111	Nomura Securities International, Inc.
	05-110	Charles Schwab & Co., Inc.
	05-109	Wall Street Discount Corporation
	05-108	Lehman Brothers Inc.
	05-107	Kimberly A. Vonduhn
	05-106	Mitchell Allan Romano
	05-105	Rosemarie Berrow
	05-098	David A. Noyes & Co., Inc.
	05-097	Joseph Edward Herndon
	05-096	Marlena D. Greth
	05-095	Thomas Gerard McNamara
	05-094	Robert L. Cram
	05-093	Marcus D. Braden
	05-092	Chaim Rieger
	05-091	Susan Jean Elvendahl
	05-090	Howard A. Rosencrans
	05-089	Troy Richard Menzel
	05-088	Andrew Davis Mills
	05-087	Merrill Lynch, Pierce, Fenner & Smith, Incorporated
	05-086	Russell Orin Gulamerian
	05-085	Scott E. Langfitt
	05-083	Mooors & Cabot, Inc.
	05-082	Kenneth John Kirsch II
	05-081	Brean Murray & Co., Inc.
	05-080	Raj Singhal
	05-079	Stephen Peter Luscko
	05-078	Kari Marie Lindsey
	05-077	Daniel Seth Peterson
	05-076	Karen Kelsch
	05-075	Robert Burns
	05-073	Keith Allen Carvell
	05-072	Richard Paul Ziegler
	05-071	Thomas Mitchell Forbes
	05-070	Maria J. Malito
	05-069	Jennifer Hiyashi
	05-068	Mercer Cook, III
	05-067	ABN AMRO Securities LLC
	05-066	ABN AMRO Incorporated
	05-065	Richard T. Bennett
	05-064	Michael Pelham
	05-063	Kenneth Harley Haas
	05-062	UBS Securities LLC
	05-061	Eric P. Steffens
	05-060	William Walter Jackson, IV
	05-058	Kevin J. McCaffrey
	05-057	John B. Hoffman
	05-056	Michael John Einersen
	05-055	SIG Specialists, Inc.
	05-054	John C. Genna, Jr.
	05-052	John Y. Buck
	05-050	Steven James Zellers
	05-049	Eric Matthew Winokur a/k/a Eric Matthew Wiener
	05-048	Seth Andrew Wiener
	05-047	Daniel Christopher McDonald
	05-046	Preferred Trade, Inc.
	05-044	William M. Scott
	05-043	Glenn Albert Hamler
	05-041	Marley Kay Burchfield
	05-040	Jing Wang
	05-039	Nicholas Michael Clements
	05-038	Brill Securities Inc.
	05-037	Prudential Equity Group, LLC f/k/a Prudential Securities Incorporated
	05-036	Rizalina Dones Flores
	05-035	Angie D. Crumby
	05-034	Darla Ann Callihan
	05-033	Christopher Trent Bromley
	05-032	Noel Puriefoy Brinkley
	05-031	Seth Wilhelm Chadbourne
	05-030	Arlen Jolfaie Sookias
	05-029	Thomas S. Lowey
	05-028	Fleet Securities Inc.
	05-027	Merrill Lynch, Pierce, Fenner & Smith Incorporated
	05-026	James Vincent Parolisi
	05-025	Eileen A. Keane
	05-024	Cynthia Barnes Hall
	05-023	Citigroup Global Markets Inc. f/k/a Salomon Smith Barney, Inc.
	05-022	Siebert (Muriel) & Co., Inc.
	05-021	Linda F. Duncan
	05-020	Latanya A. Smith
	05-019	John R. Johnson
	05-018	Erasmo F. Nuzzi, Jr.
	05-017	P. Cambell Hillstrom
	05-016	Kristina Lynn Kunst
	05-015	Jonathan Henry
	05-014	Michael Eugene Snapp
	05-013	Matthew C. Vroom
	05-012	Gregory Thomas McNamara
	05-011	R. Tyler Whitley, Jr.
	05-010	William Allen Zimmer
	05-009	Juan-Carlos Lacey
	05-008	Michael Sean DeLine
	05-007	Adam Neil Lesnick
	05-006	Avery Marc Meizner
	05-005	Mark K. Isenman
	05-004	Frank Joseph Ali
	05-003	Michael C. Hirschi
	05-002	Lazard Freres & Co., LLC
	05-001	J.P. Morgan Securities, Inc.