2008 2007 2006 2005 2004 2003

2006 Disciplinary Decisions

DateIn The Matter Of
11/01/06 Cohen Specialists, LLC
11/01/06 Knight Financial Products, LLC
11/01/06 Steven D. Berke
10/10/06 Morgan Stanley DW, Inc.
10/10/06 Trinity Derivatives Group, LLC
09/14/06 AGS Specialists, LLC
09/14/06 Jane Street Specialist, LLC (F/K/A Bowery Specialists Group, LLC)
09/14/06 Michael Challen
09/14/06 TD Options LLC
09/06/06 AIM Securities, LLC
09/06/06 Bear Hunter Structured Products, LLC
09/06/06 Bear Wagner Specialists, LLC
09/06/06 Charlton Specialist Partners, LLC
09/06/06 HBH Specialists, LLC
08/29/06 Cohen, Duffy & McGowan, LLC
08/29/06 Group One Trading LP
08/29/06 LaBranche & Co., LLC
08/29/06 LaBranche Structured Products, LLC
07/21/06 Goldman Sachs Execution and Clearing, L.P., formerly known as Spear, Leeds and Kellogg, L.P.
07/21/06 SLK-Hull Derivatives, LLC
07/06/06 Hazan Capital Management, LLC
07/06/06 Kellogg Capital Group LLC (F/K/A/ Performance Capital Group LLC)
07/06/06 Susquehanna Investment Group
06/05/06 Geronimo LLC
06/05/06 Helfant Group Inc.
06/05/06 Wolverine Trading LLC
03/14/06 C&C Trading, LLC
03/14/06 Leo Trading, LLC
02/16/06 John Cade
01/17/06 Merrill Lynch, Pierce Fenner & Smith, Incorporated