2008 2007 2006 2005 2004 2003

2004 Disciplinary Decisions

DateIn The Matter Of
12/16/04 Alfred Merendino, Ronald Menello, and GHM, Inc.
12/02/04 Salomon Smith Barney
11/02/04 Lawrence Berman
10/26/04 Emcee Investments
10/13/04 Barrytown Trading, LLC
09/30/04 B&W Global LLC
09/22/04 Lee & Son Trading
09/22/04 JAS Securities, LLC
09/22/04 Advanced Securities Company
09/22/04 Aim Securities Company
09/22/04 Aegis Specialist, LLC
09/07/04 John F. Hawkey
09/07/04 Carlton M. Lennon
09/07/04 Spear, Leeds & Kellogg, L.P.
09/07/04 Jon Schmidhammer
06/24/04 Anthony Pergola
06/24/04 Joshua Rosen
06/24/04 STR Trading Partners, LLC
05/05/04 Mark E. Stringer, Jr.
03/01/04 George Orlando Morales