|
Broker/ Firm
|
Award
|
Case Number
|
Date
|
|
R.W. Towt & Associates and Richard Warren Towt
|
$135,000
|
11-01582
|
08/6/12
|
|
Morgan Stanley & Co. Inc., Morgan Stanley Smith Barney, and Bruce Edward
Hallenbeck
|
$105,000.00
|
09-03872
|
02/15/11
|
|
Wells Fargo
|
$125,000.00
|
09-00339
|
12/20/10
|
|
Douglas Glen Frederick and Stephanie Pey Chooi
|
$18,678.00
|
08-00949
|
10/28/09
|
|
Hitomi Tsuyuki
|
$369,938.01
|
06-04950
|
03/20/08
|
|
A.G. Edwards & Sons, Inc. and Anthony Russo
|
$84,000.00
|
05-05647
|
12/10/07
|
|
Respondent J.P. Morgan Securities, Inc.
|
$175,825.00
|
06-01019
|
06/14/07
|
|
Times Securities, Inc. and Stephanie Pey Chooi
|
$40,000.00
|
05-04302
|
10/19/06
|
|
Merrill Lynch, Pierce, Fenner & Smith Incorporated and Darryl Matthew Cohen
|
$114,591.00
|
01-05581
|
05/04/05
|
|
Linsco/Private Ledger Corp. and Regina Bolvin
|
$37,000.00
|
03-00265
|
05/24/04
|
|
Merrill Lynch, Pierce, Fenner & Smith Incorporated and James A. Perry
|
$256,165.00
|
02-02159
|
04/20/04
|
|
WM Financial Services, Inc. and Lisa Ann Lighthipe-Hinz
|
$34,270.00
|
02-06386
|
02/17/04
|
|
Mark L. Moskowitz
|
$100,000.00
|
01-01846
|
08/15/03
|
|
Morgan Stanley Dean Witter Inc. and Heather Downs
|
$47,163.30
|
02-00190
|
04/28/03
|
|
Roger Y. Fan, Wayne Jon Miller, John Chun Hu, and Chunpong Lau
|
$673,536.00
|
00-02492
|
11/13/01
|
|
American Income Securities, Inc. and Frank Hickcox, II
|
$296,996.79
|
00-04037
|
10/29/01
|
|
Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.
|
$7,500.00
|
00-05059
|
06/25/01
|
|
Ernest B. Arnold
|
$3,000.00
|
99-02935
|
01/29/01
|
|
W.J. Gallagher & Company, Inc., William J. Gallagher, Jr. and Lewis Akmakjian
|
$187,500.00
|
99-02935
|
01/29/01
|
|
Cruttenden Roth Incorporated and Everett R. Ellerman
|
$16,000.00
|
99-03561
|
12/08/00
|
|
The Golden, Lender Financial Group, Inc. n/k/a J.P. Gibbons & Co.,
Inc.,
Roman Sakharovich, Foster J. Gibbons, Alexander Bienenstock, Kenneth
R. Lauher,
Tomer M. Yuzary, Earl J. Swan, III, Richard O. Freedman, Aron
O. Bronstein,
and Andrew Reegan
|
$276,298.00
|
99-04363
|
11/06/00, Award Amended 12/21/00
|
|
Vincent Barone
|
$20,560.00
|
98-01103
|
05/01/00
|
|
L. T. Lawrence & Co., Inc., Michael Ferguson, Lawrence Principato,
and Todd Roberti
|
$155,000.00
|
97-00384
|
02/07/00
|
|
Todd C. Peterson
|
$30,000.00
|
98-01591
|
10/19/99
|
|
Ash & Co., Inc., Todd C. Peterson, Ashley Nemiroff, and John J. McAndris
|
$59,299.68
|
98-01591
|
10/19/99
|
|
Curtiss Brian Parker
|
$65,200.00
|
98-01279
|
06/09/99
|
|
Ameritrade
|
$21,008.00
|
98-01714
|
06/01/99
|
|
David Heredia
|
$50,000.00
|
98-00278
|
03/03/99
|
|
Respondents Klein, Maus and Shire, Inc., David Heredia, and Mohammed Ali Khan
|
$68,689.12
|
98-00278
|
03/03/99
|
|
Bradley Marcus and Stuart Coleman Co., Inc.
|
$21,017.59
|
97-02534
|
11/19/98
|
|
Cartwright & Walker Securities Corporation and E. Scoville Walker
|
$44,356.32
|
95-05164
|
02/04/98
|
|
Pacific Coast Financial Securities, Inc. and Don Morandini
|
$23,842.00
|
96-04152
|
01/06/98
|
|
Lew Lieberbaum & Co., Inc. and Joseph Duarte
|
$17,000.00
|
96-03335
|
05/15/97
|
|
W.J. Gallagher and Harry Gliksman
|
$55,000.00
|
96-02113
|
04/25/97
|
|
Bear Stearns & Company And Peter Zyhailo
|
$90,790.00
|
95-00022
|
11/20/95
|
