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Cboe Options Exchanges Disciplinary Actions

96-0066 New Concepts LLC
December 18, 1997
97-0052A Michael Naiditch
December 18, 1997
97-0060 Daniel I. Warsh
December 18, 1997
97-0054 Tae Ung Yun
December 18, 1997
97-0052 Tower Trading, L.P.
December 18, 1997
97-0043 David Rothberg
December 18, 1997
97-0059 Robert Denning
December 18, 1997
97-0055A Ted R. Breiter
December 18, 1997
97-0055 Ted R. Breiter
December 18, 1997
97-0057A Lane Samuels
December 18, 1997
97-0039 Bear, Stearns Securities Corp.
December 18, 1997
97-0037-38 Gary R. Silverman and Daniel C. WIlliams
December 18, 1997
97-0057 Lane Samuels
December 18, 1997
97-0041 Robert K. Farkas
December 18, 1997
97-0044 JSS Investments L.L.C. and Richard Counts
December 18, 1997
97-0042 Equimax Partnership L.P. and Brian Patton
November 21, 1997
97-0024 Alan Lirtzman
November 12, 1997
97-0053 Daniel P. Verbic
November 12, 1997
97-0047 Spear, Leeds and Kellogg
November 12, 1997
97-SF0003 Morgan Stanley and Co., Incorporated
November 12, 1997
97-SF0001 Merrill Lynch, Pierce, Fenner and Smith, Inc.
November 12, 1997
97-0040 James T. Maday
November 12, 1997
97-0045 First Marathon America, Inc. and Stephen Castellano
November 12, 1997
97-0026 LaRocque Trading Group, L.L.C. and Paul C. Stefanos
November 12, 1997
97-0051 Comcorp Partners L.P.
November 12, 1997
97-0049 Maltman Investments L.P. and James Maltman
November 12, 1997
97-0021 Kingsbury Trading, L.L.C. and John F. Kingsbury, Jr.
November 12, 1997
97-0022 James R. Jordan, Harry Simpson and TriJordy Partners
November 12, 1997
97-0013 Charles M. Frank
October 6, 1997
96-0037 JOH Options, Inc. and Burt Robinson
October 6, 1997
97-0027 Michael Brennan
October 6, 1997
97-0029 Charles Goldstein and Kessler Asher Securities Trading L.P.
October 6, 1997
96-0056-57 and 97-0020 Rockrimmon Securities, L.L.C. and Jeffrey Wilson
October 6, 1997
97-0023 Mesirow Financial, Inc.
October 6, 1997
97-0030 Irvin R. Kessler and Decathalon Trading Ltd. Partnership
October 6, 1997
97-0033 Mitchell R. Joseph and Apollo Medical Partners, L.P.
October 6, 1997
97-0031 John C. Addison
October 6, 1997
96-0043 Norman S. Lawi
September 3, 1997
97-0012 Jonathan E. Kahn
August 11, 1997
97-0019 Stephens Inc.
August 11, 1997
96-0063 Ernst and Company
August 11, 1997
97-0009 Daniel P. Morr
August 11, 1997
97-0004 John Lee
August 11, 1997
97-0018 Merrill Lynch, Pierce, Fenner and Smith, Inc.
August 11, 1997
97-0025 Joseph J. Hartman
August 11, 1997
97-0011 Israel A. Englander and Co.
June 30, 1997
96-0059 Richard Lindar
June 30, 1997
97-0016 Ernst and Company and Patrick Carroll
June 30, 1997
96-0046 Ladenburg Thalmann and Co., Inc.
June 16, 1997
97-0010 Morgan Stanley and Co., Incorporated
June 16, 1997
96-0030 Richard T. Arden
June 9, 1997
97-0006 Barton Smith
June 4, 1997
96-0060A Spear, Leeds and Kellogg, Inc.
June 4, 1997
97-0007 Rockrimmon Securities
June 4, 1997
97-0005 Preferred Technology, Inc.
June 4, 1997
97-0006 Barton P. Smith
June 4, 1997
96-0042 Jonathan Groveman
June 4, 1997
97-0015 Steven Silberman and S.R. Partners
June 4, 1997
96-0061 First Options of Chicago, Inc.
June 4, 1997
96-0060 Spear, Leeds and Kellogg, Inc.
June 4, 1997
96-0058 Kelly Luthringshausen
June 4, 1997
96-0061A First Options of Chicago, Inc.
June 4, 1997
96-0047 PaineWebber, Inc.
May 12, 1997
96-0044 Richard Hanley, Jr.
May 12, 1997
97-0014 Joel Bronstein and Dearborn Trading, L.P.
May 12, 1997
96-0054 Kenneth Sandberg
May 12, 1997
97-0008 O'Connor and Company/Shamrock Securities Division
May 12, 1997
96-0045 Joan Levine
May 12, 1997
96-0032 Fredrick J. O'Donnell III
May 12, 1997
96-0038-39 Patrick Rooney, Rooney Trading, Inc. and Karen Johnson
April 9, 1997
96-0070 BT Securities Corporation
April 8, 1997
96-0064 First Options of Chicago, Inc.
April 4, 1997
97-0001 Hull Trading Co. L.L.C. and Mitch Kasper
April 4, 1997
96-0051 Kevin E. Herron
April 4, 1997
97-0002 Ethan G. Kahn and K-B L.P.
April 4, 1997
96-0069 John Halston and Halston Trading Company
April 4, 1997
96-0062 Daniel B. Asher
April 4, 1997
96-0028-68 James M. Smith, Jr.
April 4, 1997
96-0016 Darryl Behm
March 27, 1997
96-0026 Robert E. Wilkins
March 5, 1997
96-0036 Timothy G. Keller
March 4, 1997
96-0035 Roland A. Colsen
March 4, 1997
96-0055 Thomas Torok
March 4, 1997