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Division of Consumer Affairs A-Z List

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Enforcement Actions
Aaron, Shawn E. - CRD#2596836 Summary Revocation Order
Abresch, John - CRD#2280271 Summary Revocation Order
Acchione, Samuel - CRD#2649560 Summary Bar Order
Affiliated Capital Partners Civil Action - Complaint
Allianz Dresdner Asset Management of America, P A Distributors LLC, f/k/a Pimco Advisors Distributors LLC, PEA Capitol LLC f/k/a Pimco Equity Advisors LLC, and Pacific Investment Management Company LLC Consent Order and Final Judgement
Aloi, Vincent, Aloi, Ricki, Triple a Construction, Inc., United Consulting, LLC and Northeast Distribution Services, Inc. Administrative Consent Order
American Express Financial Advisors Inc. - CRD#6363 Consent Order
American Investment Club Association Corp., Paul Okoye Chuckwudi a/k/a Paul Chuck Consent Order
Amper Politzner and Mattia, P.C. Administrative Consent Order
Andrew Garrett, Inc Administrative Consent Order
Andrew Garrett, Inc Summary Order of Penalty Assesment
AOS Inc. CRD#128605 Consent Order
Apgar, Justin E. Order and Final Judgement
Apgar, Justin E. Summary Order
AquaDyn Technologies, Inc. Summary Order
Archer, Lonzo - CRD#1979672 Revocation Order
Arlett, Alexis -CRD#1173235 Summary Bar Order
Banc of America, LLC Consent Order
Banco Esprito Santo S.A. Consent Order
Barber, Richard M. Consent Order
Barone, Carl Consent Order
Barone, Carl; et al Administrative Action
Barone, Carl; Beninato, Joseph; Bimon, Stephen; Boscia, Joseph; Braden, Thomas J.; Brown, Michael J.; Cenicola, Pat; Chambers,Oscar K.; Clair, Joseph A.; Crowley, Edward M.; D'ambola, Richard; Dehaven, Bruce; Fillweber, Gary; Fleyzor, Michael; Franco, Kenneth J.; Guida, Frank; Larkin, Stephen J.; Mccabe, Thomas; Moloney, Jack; Olsen, Oscar; Prendergast, Michael; Perez, Frank; Petrulla, Michael; Philbin, James P.; Prieto, Manuel; Santoro, John; Sloan, Jeffrey; and Soto, Louis Administrative Complaint
Barone, Carl; D'Ambola, Richard et al Consent Order Consent Order
Barone, Carl; Prendergast, Michael; et al Consent Order Consent Order
Bear, Stearns & Co., Inc. Consent Order
Beigelman, Eugene - CRD#2636873 Summary Revocation Order
Beninato, Joseph Consent Order
Bernstein, Jeffery and Directive Security Corporation Summary Order
Biocurex, Inc. Administrative Consent Order
Bracalls and Pro-Tech Enterprises Administrative Consent Order
Brennan, Kevin P. - CRD#3009014 Consent Order
Brennan, Kevin P. Administrative Consent Order
Brennan, Kevin P. Summary Revocation and Penalty Assesment Order
Brialmont, Victoria CRD#2138654 Administrative Consent Order
Brialmont, Victoria Consent Order
Bruno, John Anthony -CRD#1534511 Summary Bar Order
Byrne, Thomas Administrative Action - Final Decision and Order
Cabral, Ronnilo P. - CRD#1387489 Summary Bar Order
Callipari, Richard P. - CRD#2315693 Summary Bar Order
Calvert Group, The Calvert Fund -CRD#37527 Summary Order of Penalty Assessment
Calvert Group, Socially Responsible Funds -CRD#37527 Summary Order of Penalty Assessment
Campbell, Brian M. - CRD#2297936 Summary Bar Order
Canary Capital Partners Consent Order
Conroy, John - CRD#3008995 Consent Order
Capital Markets Advisory, LLC f/k/a Carr Miller Capital Investments, LLC -CRD#141999; Brain Patrick Carr -CRD#2577346; Everett Charles Ford Miller -CRD#4166092; Ryan Jude Carr -CRD#4108245; and Carr Miller Capital, LLC. Summary Order -Revocation; and Verified Complaint
Casey, Michael R. Civil Action -Consent Order
Final Judgment and Consent Order
Chamberlain Worldwide, The Service Group, Nicholas Marinella and Barbara Marinella Civil Action-Final Judgement
Chanin, Jay Eric -CRD#2655324 Consent Order
Charles Erb & Associates, Inc., CEA Financial Group, Inc., Edward D. Angrisani and Charles D. Erb. Consent Order and Final Judgement on Injuction and on Monetary Settlement;
Chicago Investment Group, LLC. Consent Order
Chung, Christopher; Brunnock, Kevin ; and Savino, William Administrative Complaint; Adminstrative Consent Order
Ciano, David L. Consent Order
Citigroup Global Markets Inc. -CRD# 7059 Consent Order
Citigroup Global Markets Inc. Consent Order
Clark, Brian J. - CRD#1440175 Summary Revocation Order
Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis Amended Administrative Complaint
Clark, Brian; LaSala, Lawrence; Lester, Christopher; Farkas,Louis Consent Order
Clearing Services of America, Inc., Jeffrey P. Cahn, Estate of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz and Gerard Sherlock - Consent Order as to Jeffrey Cahn
Clearing Services of America, Inc., -Jeffrey P. Cahn, Louis B. Mercaldo, William Schantz and Gerard Sherlock Consent Orderas to William Schantz, Gerard Sherlock and Louis B. Mercaldo
Clearing Services of America, Inc., Jeffrey P. Calm, Estate of Louis R. Mercaldo, Rachel E. Neufeld, William Schantz and Gerard Sherlock Final Decision and Order Adopting the OAL Partial Summary Decision with Amendents
Clover Management Group, Inc., Clover Merchant Group, LTD., Clover Defense Partners, L.P., Clover JCM Defense Partners, LLC, Clover Capital Management, LLC, CMG Advisors, LLC, Clover International Advisors, Herbert Mario Figueroa, Carmine Russo, Thomas Russo and Michael Petrokansky a/k/a Michael Petro Civil Action-Second Amended Verified Complaint; Civil Action-Order
Cobalt Investors Services, Inc., ABC Corp., a fictitious business, XYZ Corp., a fictitious business, and Richard Thomas Geck Entry of Default
CMR Management Group LLC; Michael D'Angelo, Diana D'Angelo, Richard Sladek, Charles T. Barbero Civil Action - Order Granting Plaintiff Preliminary Injunctive Relief and Ancillary Relief, and Asset Freeze as to Certain Defendants
Cobalt Investors Services, Inc., ABC Corp., a fictitious business, XYZ Corp., a fictitious business, Richard Thomas Geck Verified Complaint
Conte, Frank J. -CRD#1305007 Revocation Order
Conway, Charles D. Inmate CRD#2814014 Summary Order
Cornerstone Ministries Investments, Inc. Stop Order
Cortellessa, Anthony Louis - CRD#54624 Summary Bar Order
Costabile, Douglas - CRD#2581223 Summary Revocation Order
Credit Suisse First Boston LLC f/ka Credit Suisse First Boston Corporation - CRD#816 Consent Order
Crowley, Edward M. Consent Order
Cystal Sky Enterprises, LLC - Civil Action Complaint
Dacosta, Patrick Order
D'Angelo, Michael; D'Angelo, Diana; Sladek, Richard; Barbero, Charles T.; CMR MNGT GROUP, LLC. Final Judgement and Consent Order as to Defendant Michael D'Angelo
Datys, Harry S. CRD#1877750 Consent Order
Delaney, Brian P. - CRD#2577944 Consent Order
Deutsche Bank Securities, Inc. Consent Order (05) ; Consent Order (09)
D'Iorio, Paul - CRD#2594623 Consent Order
Digital Gas Inc, Michigan Corporation; Brian Smith, individually; Lynn Smith, individually; and William Brown, - CRD#2594623 Order of Final Judgement
Digital Gas Inc, Michigan Corporation; Brian Smith, individually; Lynn Smith, individually; and William Brown, - CRD#2594623 Request for Entrey of Default
Digital Gas Inc, Michigan Corporation; Brian Smith, individually; Lynn Smith, individually; and William Brown, - CRD#2594623 Notice of Motion
Digital Gas Inc, Michigan Corporation; Brian Smith, individually; Lynn Smith, individually; and William Brown, - CRD#2594623 Civil Action - Verified Complaint
Discovery Capital Group - CRD#29355 Summary Revocation Order
Eisenberg, Colin S. - CRD#2490217 Consent Order
Eisenstark, Jacob a/k/a Jay Eisenstark; a/k/a Eisenstark Advisory Inc. Capital Management and as the principal and Presiden of J.N.J. Capital Management, Inc.; Eisenstark, Blanche; J.N.J. Capital Management, Inc; Eisenstark Advisory, Inc. Final Judgment and Consent Order
Eisenstark, Jacob a/k/a Jay Eisenstark; a/k/a Eisenstark Advisory Inc. Capital Management and as the principal and Presiden of J.N.J. Capital Management, Inc.; Eisenstark, Blanche; J.N.J. Capital Management, Inc; Eisenstark Advisory, Inc. Civil Action- Order to Show Cause Pursuant to Rule 4:52
Etienne, Hudson Sr. CRD#1934483 Summary Order of Revocation and Assessment of Civil Monetary Penalties
EVERETT CHARLES FORD MILLER,  
Fagan, Candace Consent Order and Final Judgment
Fagan, Thomas & Energex Systems & Arbios
Acquisition Partners & Arbios Systems
Consent Order and Final Judgment
Farkas, Louis Consent Order
Ferrera, Gary J. CRD#2496815 Summary Revocation Order
Ferris, Baker, Watts Incorporated - CRD#285 Summary Order of Penalty Assessment
Fikher, Ilya a/k/a Fisher, Ilya a/k/a Fisher, Elliot a/k/a Fikher, Elliot a/k/a Elliot, Ilya CRD#2219242 Summary Bar Order
Fintz, Leon - CRD#2723092 Summary Revocation Order
Firestone, Joel Order of Final Judgement
Firestone, Joel Order Revoking Exemptions and Assessing Civil Monetary Penalties
First Atlantic Financial, Inc. and Charles Sosinski, Jr. Civil Action - Order
First Montauk Securities Corp. - CRD#13755 Consent Order
Fleyzor, Michael J. Civil Action- Consent Judgement including Permanent Injunctive Relief
Forero, Alfonso -CRD#27971964 Order of Revocation
Frace, James M. - CRD#2629626 Summary Revocation Order
Franklin, Kenneth -CRD#1852819 Consent Order
Fronjian, Robert, RMF, Inc., and RMF Trading, LLC Consent Order
Florey, Francis Martin Consent Order
Fuchs, Gary M., GMF Enterprises, Inc., FNK Capital Management, Inc., FNK Capital Partners Limited Partnership Administrative Consent Order
Garrett, Andrew - CRD#29931 Consent Order
Gallagher, Daniel J. -CRD#2092711 and
Vision Securities Inc.
Consent Order
Geck, Richard Thomas - Summary Bar Order
George F. Gaffney, Hurrican Products, Inc. Final Judgement by Consent
Giacomaro, Thomas - Summary Bar Order
Global Trading Investments, LLC., Wyndam Group, L.P., Brian D. Winters, et al as to Defendant Jeffrey Winters Civil Action - Consent Judgment
Global Trading Investments, LLC., Wyndam Group, L.P., Joan Potts, Brian D. Winters, et al - Civil Action Consent Order
Global Trading Investments, LLC., Wyndam Group, L.P., Joan Potts, Brian D. Winters, et al - as to Defendant Joan Potts Civil Action Consent Judgment and Final Judgement
Global Trading Investments, LLC., Wyndam Group, L.P., Laura Zemsky, Brian D. Winters, et al - as to Defendant Laura Zemsky Civil Action Consent Judgment and Final Judgement
Global Trading Investments, LLC., Wyndam Group, L.P., Brian D. Winters, Nicole Kearney, et al - as to Defendant Michael Malley Civil Action Consent Judgment and Final Judgement
Glowe & Co -IARD#120718 and Leon Glowe - CRD#1326501 Consent Order
Goldman, Sachs & Co - CRD#361 Consent Order
Gray, Ingrid Civil Action - Consent Judgment
Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.; Estate of Vera Greenblatt, Jerome M. Rosenthal, Alexandra Horvath, Maywood Capitol Corp., Maywood Management Corp., Tumblers, Inc., Tumblers II, Inc., AP Construction Associates, Inc., et al Civil Action - Order for Preliminary Injunction
Greenblatt, Joseph.; Greenblatt, Max; Vogel, Peter F.; Estate of Vera Greenblatt, Jerome Rosenthal, Alexandra Horvath, Maywood Capitol Coro., Maywood Management Corp., Tumblers, Inc. et al Civil Action - Verified Complaint
Griffin, Jeffrey - CRD#3232749 and Tricep Trading LLC Administrative Consent Order
Grunwerg, Steven Bruce CRD#2670062 Summary Revocation Order
Guastella Vincent R. and Freedom Group Services Inc. Adminstrative Consent Order
Hankins, James Jr.; The Hankins Group, Ltd., Hankins Private Client Group, LLC, Hankins Life Settlement LLC., Dina Hankins Civil Action- Order Granting Plaintiff Preliminary Injunctive Relief; Verified Complaint; EX PARTE Order to Show Cause with Temporary Restraints Pursuant to Rule 4:52; Consent Order
Hayden, Matthew A. -CRD#2559471 Consent Order
Heritage Financial, Inc., David Cairns, Gordon Currie, Richard Osbourne, Anthony Santoro, Donald Grant, Frank Molson, the International Regulatory Commission et.al. - Plaintiffs' Second Order to Show Cause with Temporary Restraints
Hersh, Mitchel CRD#874733 Summary Revocation Order
Hill, Stephen and Glassberg, Roy Summary Order
Hunsinger, Hugh R. CRD#2179745 Summary Bar Order
Investment Center, Inc., The CRD#17839 Consent Order
Isaacs, Jeffrey Mitchell Consent Order
Jahre, Howard - CRD#2238671 and Hedge Fund Capital Partners LLC Summary Revocation Order
J.P. Morgan Securities, Inc.- CRD#18718 Consent Order
J.P. Morgan Chase & Co.- CRD#79 Consent Order
J.P. Turner & Company, L.L.C.- CRD#43177 Consent Order
Jan Lewan Show Gifts, Inc., JRD Productions, Inc. a/k/a The Amber Factory, Jan Lewandowski a/k/a Jan Lewan Order
Jesup & Lamont Securities Corp. -CRD#39056 Summary Order of Penalty Assessment
Joyce, Paul F. Civil Action - Consent and Final Judgement including Permanent Injunctive Relief, Restitution and Civil Monetary Penalties
Kairos Financial Corporation -CRD#139299 Summary Revocation Order
Kaminsky, Stanislav - CRD#2721200 Summary Revocation Order
Kelly, John H. Summary Revocation Order
Kelly, Michael. -CRD#1952241 Consent Order
Kimmel, Thomas Order to Cease and Desist
Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group, Inc., et.al. - Civil Action Consent Order Appointing Fiscal Monitor and Granting Other Ancillary Relief
Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group, Inc., et.al. - Civil Action Order Granting Perliminary Injunction, Asset Freeze, Receivership, and Other Ancillary Relief
Klein, Gary S., Joseph Sugani, Nizar Azzam, R.E.I. Group, Inc., et.al. - Civil Action Order Granting Perliminary Injunction, Asset Freeze, Receivership, and Other Ancillary Relief
Kolinsky, Steven Consent Order
L H Ross and Company, Inc. CRD#37920 Summary Revocation Order
Lafferty, Jeffrey Scott CRD#2754865 Summary Revocation Order
Leffler, Stuart Civil Action - Consent Judgment
Lehman Brothers Inc. - CRD#7506 Consent Order
Lester, Christopher Consent Order
Lill, Kenneth A,; Thuring, Richard M., Medical Security Card, Inc., MSC Professional Management Co., Inc. Consent Order and Final Judgement
Lipkin, Michael Valdimir Civil Action - Judgement
Lowe, Nadine Administrative Consent Order
M-Times Investments Co. Order to Cease and Desist
Maguire Jr, William CRD#2040885 Order of Denial of Agent Registration
Malashock, Jeffrey S. Summary Bar Order
Maniloff, Lewis -CRD#318695 Consent Order
Markakis, William Summary Bar Order
Martinez, Marcos - CRD#2604427 Summary Revocation Order
Mathis, Scott L. CRD#1362203 Consent Order Vacating Order of Denial of Agent Registration
Mathis, Scott L. CRD#1362203 Order of Denial of Agent Registration
Maturniak, Gregory - Consent Order
Maywood Capitol Corp., and Tumblers, Inc. Civil Action - Order
Mazza, Laurie Consent Order and Final Judgment
McCahery, Brian - CRD#2342887 Summary Bar Order
McCarty, Michael - CRD#1091017 Summary Revocation Order
McDermott, Mark Consent Order Under NJAC 1:1-19.1
Mennella, Robert Mario -CRD#1949884 Consent Order of Postponement
Merrill Lynch, Pierce, Fenner & Smith Inc., - CRD#7691 Consent Order
Merrill Lynch, Pierce, Fenner & Smith Inc., Consent Order
Merrill Lynch, Pierce, Fenner & Smith Inc., Consent Order
Millennium Interactive Technologies Corp. Final Judgment
Millennium Interactive Technologies Corporation - Stipulation and Warrant to Satisfy Judgement
Milstein, Isaac Civil Action - Consent Judgment
Miller, Fred J., Affiliated Capital Partners, Capstone Energy Corp., Commerical Tech, LLC., Eric Riedman & Associates, M&R Capital Partners, LLC., Traders Commerical Capital, LLC., Traders Resources Capital, LLC., General Capital Partners, LLC. Civil Action - Complaint
MLC International Asset Management, Inc., Julio M. Crespo, a/k/a Max Crespo, John M. Brew, SHB Holdings, Ltd., Luis Figueroa, and Arnold Squitieri. Final Judgement by Arnold Squitieri
Monahan, Thomas - CRD#1192627 Order of Denial of Agent Registration
Monahan, Thomas - CRD#1192627 Order of Denial of Agent Registration
Morgan Stanley & Co. - CRD#8209 Non-Traditional ETFs Consent Order
Morgan Stanley & Co., Inc. - CRD#8209 Consent Order
Morgan Stanley Smith Barney, LLC CRD# 14977 Consent Order
Mowat, Victor CRD#341765 Summary Bar Order
Mutual Trust Company of America Securities Administrative Action Order
Mutual Trust Company of America Securities Order for Penalty Assessment
Mutual Trust Company of America Securities Consent Order and Settlement Agreement
Myers, Palmer J. Final Decision and Order Adopting Initial Decision
Myers, Palmer J. Order Granting Partial Summary Decision
Najarian, John R. Consent Order and Final Judgment
Newbridge Securities Corporation - CRD#104065 Consent Order
Parker, Lamont Percell -CRD#2946241 Consent Order
Pecoraro, James Robert -CRD#2440231 Denial Order
Perpetual Securities, Inc., Cathy Y. Huang, Youwei Paul Xu Administrative Complaint
   
Philip R. Davis Consent Order
Piersaint, Donax d/b/a CBC Express - Civil Action Complaint
Pruco Securities LLC (CRD No 5685) Consent Order for Penalty Assessment
Prudential Securities Incorporated a/k/a Prudential Equity Group, LLC - Consent Order
Prosper Marketplace, Inc. Consent Order
RBC Capital Markets CRD#31194 Administrative Consent Order
RBC Capital Markets LLC - CRD#31194 Consent Order
RBC Capital Markets Corporation - CRD#31194 Consent Order
Racaniello, James M. - Final Decision and Order Adopting the Initial Decision
Raymond James and Associates, Inc. Consent Order
Riedman, Eric, Affiliated Capital Partners, Capstone Energy Corp., Commerical Tech, LLC., Eric Riedman & Associates, M&R Capital Partners, LLC., Traders Commerical Capital, LLC., Traders Resources Capital, LLC., General Capital Partners, LLC. Civil Action - Complaint
   
Richardson, Christopher J. - CRD#2041338 Administrative Complaint and Order of Denial of Application for Agent Registration
Rivera, Victor Manuel Jr. - CRD#2001799 Summary Bar Order
Rivero CPA, LLC -CRD#129783 Amended Order for Monetary Penalties by Consent
Rivero, Lourdes -CRD#4739232 Amended Order for Monetary Penalties by Consent
Rosenzweig, Stanley and qNETIQ Inc. Summary Order
Ruggiero, Kevin - CRD#2765188 Summary Bar Order
Sanducci, David -CRD#2370405 Revocation Order
Santoro, John Consent Order
Saviano, Ralph - CRD#1081879 Summary Revocation & Penalty Order
Schloth, William; Somerset Financial Partners, Inc. Civil Action - Complaint
Schneider, Randy J - CRD#2499925 Summary Revocation and Penalty Order
Seferian, Norair A. CRD#2674569 Summary Revocation Order
Scian, Michael R., Jr. Civil Action - Verified Complaint; Order to Show Cause; Amended Verified Complaint
Seferian, Norair A. CRD#2674569 Civil Action-Consent Judgement
Shahani, Jayant H. CRD#4533103 Summary Revocation Order
Shkedi, Nicole M. - CRD#3130873 Consent Order
Shui, Amy - CRD#707519 Summary Revocation Order
Sigma Capital Management, L.L.C., -CRD#127244; Satram Chainani -CRD#2623294, Amended Order of Penalty Assessment by Consent
Sigma Capital Management, L.L.C., -CRD#127244; Satram Chainani -CRD#2623294, Order of Penalty Assessment
Sloan Investment Advisors LLC - CRD#141993 Summary Revocation Order
Sloan Securities Corp. CRD No. 17930 Summary Order
Smith, Maxwell Baldwin, III -CRD#600012 Consent Order
Solash, Robert H. -CRD#430218 - Order for Denial and Penalty Assessment
Somerset Financial Partners, Inc.; Somerset Financial Group, Inc.; Somerset Investment Management, LLC.; Somerset Venture Partners, LLC.; and Somerset Venture Partners I, LLC. Civil Action - Complaint
Soojian, Jay John and Dexter Group, Relief Defendant Administrative Consent
Consent Final Judgment
Spanlogix Corporation, et al. Civil Action- Consent Order and Final Judgement as to Defendants Thomas D'Innocenzi and Spanlogix Corporation
Specialized Autocore Services, Inc., A. Dean Braz Complaint
Specialized Autocore Services, Inc., A. Dean Braz - Civil Action Consent Judgement
Strahl, Brian Thomas a/k/a Brian Thomas Stahl CRD#2305920 Summary Bar Order
Subhan, Philip CRD#1244246 Summary Bar Order
Talbot, David A.; Schroy, Robert; Simmons, Kenneth; Worldwide Marketing Network, Inc.; His Glory Worldwide, LLC.; Jesus Rallies in Chicagoland, Inc.

Civil Action - Verified Complaint; Order Granting Plaintiff Preliminary Injunctive Relief Against Defendants; Final Judgement and Consent Order as to Defendant Robert Schroy; Final Judgement and Consent Order as to Defendant Kenneth Simmons

Thomas Weisel Partners, LLC Consent Order
Thompson, Nicholas ; Somerset Financial Partners, Inc. Civil Action - Complaint
Toth, Douglas ; Somerset Financial Partners, Inc. Civil Action - Complaint
Trombatore, Frank and CMC Group, Ltd Consent Order Consent Order
Trub, Jerrold - CRD#4873751 and Baron Financial Management Corp. - CRD#113261 Consent Order
UBS Financial Services CSAs Administrative Consent Order
UBS Financial Services Inc. Consent Order
UBS PaineWebber Inc. - CRD#8174 Consent Order
UBS Warburg LLC - CRD#7654 Consent Order
US Bancorp Piper Jaffray - CRD#665 Consent Order
Uva, Anthony Consent Order
Vallone, Robert - CRD#1429425 Revocation Order
Valore, Carl Summary Bar Order
Vecchio, Frank Michael CRD#1537031 Summary Revocation Order
ViewTrade Financial Network, Inc., ViewTrade Securities, Inc., Richard D. O'Reilly and Alfred "Archie" G. Block Summary Order
Wachovia Securities, LLC. (AG Edwards & Sons, Inc.) Consent Order
Wachovia Securities, LLC. & Wachovia Capital Markets, LLC Consent Order
Wachovia Capital Markets, LLC. - Findings of Fact Conclusions of Law Consent Order
Wagtowicz, John T. CRD#4310867 Revocation Order
WallStreet Electronica, Inc -CRD#43896; Carlos Francisco Otalvaro-CRD#2294420; and Frank Charles Donnauro -CRD#1952493 Administrative Consent Order
Walsh, Erik - CRD#2589145 Summary Revocation Order
Wellesley Services, LLC - f/k/a WS Survivor, LL; et al Verified Complaint
Wellesley Services, LLC - f/k/a WS Survivor, LL; et al Order to Show Cause
Wellesley Services, LLC - f/k/a WS Survivor, LL; et al Consent Order
Wellesley Services, LLC - as to Defendant Dorian Hayes Consent Order and Final Judgement
Wellesley Services, LLC - as to Defendant Thomas Giacomaro Consent Order and Final Judgement
Wellesley Services, LLC - as to Defendant Anthony Bianco and Keith Moody Consent Order and Final Judgement
Wellesley Services, LLC - as to the Defendant Entities Consent Order and Final Judgement
Wellesley Services, LLC - as to the Defendant Stephen Funk Consent Order and Final Judgement
Wells Fargo Investments - CRD#10582 Consent
WestPark Capital Inc. CRD#39914 Consent Order
White, Neil A. Administrative Action - Consent Order Under NJAC 1:1-19.1
Wilk Financial Services, Inc. Consent Order
Winters, Brian D. and Global Trading Investments, LLC Consent Order
Wiseman, David Allan CRD#859983 Summary Revocation Order
Wroble, Daniel R. - CRD#1413861 Order of Denial of Agent Registration
Zemlock, Jordan - CRD#147849 Summary Bar Order



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