Disciplinary Actions
  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.




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