Dept. of Enforcement v. Sears
N/AOUTCOME: Finding for Enforcement
C07050042- Office of Hearing Officers (2006 NASD Discip. LEXIS 41)
Joel Richard Beck's Legal Cases (14)
Lawrenceville, GA
Financial markets and services Lawyer at Lawrenceville, GA
Practice Areas: Financial Markets and Services, Wills & Living Wills ... +6 more
Dept. of Enforcement v. Dunbar
N/AOUTCOME: Finding for Enforcement
Office of Hearing Officers - 8/10/06 (2006 NASD Discip. LEXIS 34)
Dept. of Enforcement v. PAZ Securities et al.
N/AOUTCOME: Finding for Enforcement
C07030055, National Adjudicatory Council 2/10/05 (2005 NASD Discip. LEXIS 1). Case later appealed to SEC, then to the US Circuit Court of Appeals for the DC Circuit. On remand from the Court of Appea ... ls, SEC affirmed sanctions. Case now back before Court of Appeals, as of April 2008.
Dept. of Enforcement v. Timberlake
N/AOUTCOME: Finding for Enforcement
Office of Hearing Officers, C07010099 (5/27/03) 2003 NASD Discip. LEXIS 26
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