2008 2007 2006 2005 2004 2003

2003 Disciplinary Decisions

DateIn The Matter Of
12/29/03 Joseph R. Guissari
12/24/03 Gary Costello
12/24/03 Michael Fuller
12/24/03 Dennis Gaylin
12/24/03 Michael Kelly
12/24/03 Mai N. Nguyen
12/24/03 George J. Swindasz, Jr.
12/15/03 Robert Faulkner
11/04/03 Merrill Lynch, Pierce, Fenner & Smith, Incorporated
10/03/03 Morgan Stanley & Co. Inc. and Alimohammed Agboatwalla
08/28/03 Dealza O. Winstead
07/02/03 Lawrence Mark Polatchek
06/12/03 National Investor Services Corp
06/12/03 Goin & Co., LLC and Dennis J. Goin
05/15/03 Philip Keith Adams
05/15/03 Charles Schwab & Co.
04/24/03 Sovereign Capital Partners, LLC.
03/19/03 Rosario Ingallinera, Fabian Caceres, Anthony Pergola, Peter Donohue, and Spear, Leeds, & Kellogg, L.P.
03/13/03 Joseph F. Dunn
03/25/03 J. Streicher & Company LLC. and Jonathan Q. Frey
02/06/03 Lance Craig Reese
01/30/03 Todd Allen Horan