Herron, David A
Hinsdale, IL 60521
|
Self-employed/Securities Profession | $1,500 |
P | 04/28/2005 |
Herron, David A
Hinsdale, IL 60521
|
Self-employed/Securities Profession | $1,000 |
P | 10/18/2006 |
McBride, Charles F
Longwood, FL 32750
|
Security Traders Association/Securi | $1,000 |
P | 04/28/2005 |
Turner, Clint A III
Dallas, TX 75252
|
Securities Professional | $870 |
P | 11/14/2005 |
Wardle, Brian M
Dallas, TX 75243
|
EDI Financial/Securities Profession | $870 |
P | 11/14/2005 |
Daley, John
Frisco, TX 75034
|
Trader | $860 |
P | 11/19/2005 |
Savona, Nicholas M
New York, NY 10170
|
TD Newcrest/Securities Professional | $700 |
P | 11/14/2005 |
Green, Dennis
Fort Myers, FL 33908
|
D.A. Greer/Securities Professional | $600 |
P | 11/14/2005 |
Cangemi, Joseph N Mr
Manhasset, NY 11030
|
Securities Trader | $500 |
P | 10/31/2006 |
Cantrell, David K
Stevenson Ranch, CA 91381
|
Securities Professional | $500 |
P | 11/28/2005 |
Carter, Thomas M
San Marino, CA 91108
|
Securities Professional | $500 |
P | 10/19/2005 |
Casey, George H III
La Habra Heights, CA 90631
|
Crowell Weedon/Securities Professio | $500 |
P | 10/19/2005 |
Daleu, Dawn Mrs
Frisco, TX 75034
|
Securities Trader | $500 |
P | 10/31/2006 |
Dapuzzo, Peter J
Greenwich, CT 06831
|
Security Traders Assoc./Securities | $500 |
P | 09/27/2006 |
Duncan, James
New York, NY 10170
|
Self Employed/Securities Profession | $500 |
P | 11/14/2005 |
Esposito, Mark Mr
New York, NY 10170
|
Securities Trader | $500 |
P | 10/31/2006 |
Flores, Julian M
Chevy Chase, MD 20815
|
Securities Professional | $500 |
P | 11/28/2005 |
Franks, Dan B
Clearwater, FL 33764
|
NASDAQ/Executive | $500 |
P | 04/11/2005 |
Giesea, John
Avon, CT 06001
|
Security Traders Assoc./Securities | $500 |
P | 11/19/2005 |
Goss, Andrew
Chicago, IL 60657
|
Security Traders Association/Securi | $500 |
P | 11/19/2005 |
Goss, Andrew
Chicago, IL 60657
|
Security Traders Association/Securi | $500 |
P | 09/25/2006 |
Green, Bart
Chesterfield, MO 63017
|
AG Edwards & Son/Securities Profess | $500 |
P | 11/14/2005 |
Green, Bart
Chesterfield, MO 63017
|
AG Edwards & Son/Securities Profess | $500 |
P | 09/25/2006 |
Herron, David A
Hinsdale, IL 60521
|
Self-employed/Securities Profession | $500 |
P | 11/28/2005 |
Holland, Robert G Mr
Milton, MA 02186
|
Security Trader | $500 |
P | 10/31/2006 |
Hughes, John P
Havertown, PA 19083
|
Janney Montgomery Scott LLC/Trader | $500 |
P | 10/18/2006 |
Kearney, Arthur J
Wayzata, MN 55391
|
Security Traders Assoc./Securities | $500 |
P | 11/14/2005 |
Klingowize, Sean Mr
New York, NY 10170
|
Security Trader | $500 |
P | 10/31/2006 |
Madoff, Mark D
Greenwich, CT 06831
|
Madoff Securities and Investments/S | $500 |
P | 10/19/2005 |
Matrone, Louis
Frisco, TX 75035
|
SWS Securities Inc./Trader | $500 |
P | 11/14/2005 |
McBride, Charles F
Longwood, FL 32750
|
Security Traders Association/Securi | $500 |
P | 11/14/2005 |
Meagrow, Jay P
Cleveland Heights, OH 44118
|
Securities Professional | $500 |
P | 11/28/2005 |
Mock, Brett F
Tiburon, CA 94920
|
Securities Professional | $500 |
P | 10/19/2005 |
Pacheco, Arthur
Coral Gables, FL 33134
|
Guzman & Company/Trader | $500 |
P | 11/28/2005 |
Pacheco, Arthur
New York, NY 10179
|
Bear Stearns & Co./Trader | $500 |
P | 02/07/2005 |
Puleo, Stephen E Mr
Boston, MA 02116
|
Security Trader | $500 |
P | 10/31/2006 |
Reynolds, Heidi
Memphis, TN 38120
|
Securities Professional | $500 |
P | 10/19/2005 |
Royal, Daniel B Mr
Pewaukee, WI 53072
|
| $500 |
P | 10/18/2006 |
Savona, Nick M Mr
New York, NY 10170
|
TD Newcast/Securities Professional | $500 |
P | 10/31/2006 |
Turner, Clint A III
Dallas, TX 75252
|
Securities Professional | $500 |
P | 10/31/2006 |
Turner, Clint A III
Dallas, TX 75252
|
Securities Professional | $500 |
P | 10/21/2005 |
Utasi, Lisa Marie
New York, NY 10170
|
Securities Professional | $500 |
P | 10/31/2006 |
Utasi, Lisa Marie
New York, NY 10170
|
Securities Professional | $500 |
P | 10/19/2005 |
Vance, William A
Roslyn, NY 11576
|
Security Traders Association/Securi | $500 |
P | 10/23/2006 |
Vance, William A
Roslyn, NY 11576
|
Security Traders Association/Securi | $500 |
P | 10/21/2005 |
O'Neill, Stephen Mr.
New York, NY 10048
|
Security Traders Assoc./Chairman | $350 |
P | 10/18/2006 |
Cantrell, David K
Stevenson Ranch, CA 91381
|
Securities Professional | $325 |
P | 10/18/2006 |
Lyon, Matt D Mr
Whittier, CA 90605
|
| $325 |
P | 10/18/2006 |
Madoff, Mark D
Greenwich, CT 06831
|
Madoff Securities and Investments/S | $250 |
P | 05/12/2005 |