2008 2007 2006 2005 2004 2003

2005 Disciplinary Decisions

DateIn The Matter Of
12/19/05 Banc of America Securities, LLC
10/18/05 Sapphire Partners, LLC
09/29/05 Headwaters Capital, LLC
09/29/05 Adam C. Lenneberg
09/29/05 Timber Hill, LLC
09/22/05 Citigroup Global Markets, Inc.
08/30/05 Schonfeld Securities, LLC
08/30/05 John E. Wheeler
08/30/05 George Aliermo and JRS Trading LLC
07/22/05 Teton Trading, LLC
07/22/05 KELLOGG Capital Group, LLC
07/22/05 Fogel Group LLC
07/08/05 Michael G. Powers
06/23/05 Cohen, Duffy, McGowan & Co., LLP and Thomas Wales
06/20/05 Vector Magnitude Funds, LLC and Michael J. McNamara
05/23/05 Christian Buck
05/23/05 Lehman Brothers, Inc.
04/19/05 Norbert W. Enslen, Jr.
04/19/05 Morgan Stanley DW, Inc.
04/19/05 Robert E. Bolen
04/19/05 BKI Associates
04/19/05 Prudential Equity Group, LLC
04/19/05 Robert Waltz
03/29/05 Nomura Securities International, Inc.
02/28/05 James B. Cohen
01/06/05 Bear Wagner Specialists, LLC
01/06/05 David Chan