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Case Summary

WALTER EDWARD FAIR NYFE TC-5 NFA ID: 0055120

Respondent/Effective Date Summary
 NFA IDRespondentEffective Date
 0215117CERISANO, FRANK MICHAEL JR09/30/1992
 0208766COOPER, DAVID M09/30/1992
 0203222DESILVIA, RICHARD CARMINE09/30/1992
 0230265DITORE, ANTHONY JR09/30/1992
 0242382DOHERTY, RUSSELL IAN09/30/1992
 0006029EISLER, NORMAN STANLEY09/30/1992
 0055120FAIR, WALTER EDWARD09/30/1992
 0194206FAVALE, JOSEPH09/30/1992
 0022209FIERMAN, RUSS S09/30/1992
 0065050FLORIN, MARC E09/30/1992
 0201953FLYNN, MICHAEL JOSEPH09/30/1992
 0190106GELLER, ALAN STEVEN09/30/1992
 0196369GRAZIANO, JOSEPH GERARD09/30/1992
 I005841GREENBAUM, JAMES09/30/1992
 0194140HAMERSCHLAG, GREGG LAWRENCE09/30/1992
 0214328HAZEL, SALVATORE A09/30/1992
 0004124HOCHMAN, DANIEL JOHN09/30/1992
 0236748HODAPP, MICHAEL JAMES09/30/1992
 0069826KEARNS, MICHAEL FRANCIS09/30/1992
 0201202KING, RICHARD T09/30/1992
 0003345LOFTUS, PATRICK E09/30/1992
 0194345LOFTUS, SEAN TERRANCE09/30/1992
 0234279LORETTA, JEFFREY09/30/1992
 0063596MORMINO, JOSEPH F JR09/30/1992
 0030275OGRADY, THOMAS J09/30/1992
 0043477PALLADINO, CHRISTINE09/30/1992
 0195072PERAS, ALFRED ANTHONY09/30/1992
 0233173PIERCE, EVAN DOUGLAS09/30/1992
 0069844PRIOR, KEVIN MICHAEL09/30/1992
 0010057REBELO, DOMINICK A09/30/1992
 0065345REYNOLDS, DANIEL G09/30/1992
 0064363ROSENBERGER, ANDREW ROY09/30/1992
 0210990ROUGHLEY, MATT JAMES09/30/1992
 0053122SIDER, PHILIP HARLAN09/30/1992
 0197990TORRES, RICHARD09/30/1992
 0247665TRAINA, THOMAS PAUL09/30/1992
 0084886VALENTINE, LEONARD ALAN09/30/1992
 0009293WALSH, JOHN MICHAEL09/30/1992
Rule Summary
 NFA IDRespondentRule Type
 0215117CERISANO, FRANK MICHAEL JR• 409 - TRADING CARD PREPARATION
 0208766COOPER, DAVID M• 409 - TRADING CARD PREPARATION
 0203222DESILVIA, RICHARD CARMINE• 409 - TRADING CARD PREPARATION
 0230265DITORE, ANTHONY JR• 409 - TRADING CARD PREPARATION
 0242382DOHERTY, RUSSELL IAN• 409 - TRADING CARD PREPARATION
 0006029EISLER, NORMAN STANLEY• 409 - TRADING CARD PREPARATION
 0055120FAIR, WALTER EDWARD• 409 - TRADING CARD PREPARATION
 0194206FAVALE, JOSEPH• 409 - TRADING CARD PREPARATION
 0022209FIERMAN, RUSS S• 409 - TRADING CARD PREPARATION
 0065050FLORIN, MARC E• 409 - TRADING CARD PREPARATION
 0201953FLYNN, MICHAEL JOSEPH• 409 - TRADING CARD PREPARATION
 0190106GELLER, ALAN STEVEN• 409 - TRADING CARD PREPARATION
 0196369GRAZIANO, JOSEPH GERARD• 409 - TRADING CARD PREPARATION
 I005841GREENBAUM, JAMES• 409 - TRADING CARD PREPARATION
 0194140HAMERSCHLAG, GREGG LAWRENCE• 409 - TRADING CARD PREPARATION
 0214328HAZEL, SALVATORE A• 409 - TRADING CARD PREPARATION
 0004124HOCHMAN, DANIEL JOHN• 409 - TRADING CARD PREPARATION
 0236748HODAPP, MICHAEL JAMES• 409 - TRADING CARD PREPARATION
 0069826KEARNS, MICHAEL FRANCIS• 409 - TRADING CARD PREPARATION
 0201202KING, RICHARD T• 409 - TRADING CARD PREPARATION
 0003345LOFTUS, PATRICK E• 409 - TRADING CARD PREPARATION
 0194345LOFTUS, SEAN TERRANCE• 409 - TRADING CARD PREPARATION
 0234279LORETTA, JEFFREY• 409 - TRADING CARD PREPARATION
 0063596MORMINO, JOSEPH F JR• 409 - TRADING CARD PREPARATION
 0030275OGRADY, THOMAS J• 409 - TRADING CARD PREPARATION
 0043477PALLADINO, CHRISTINE• 409 - TRADING CARD PREPARATION
 0195072PERAS, ALFRED ANTHONY• 409 - TRADING CARD PREPARATION
 0233173PIERCE, EVAN DOUGLAS• 409 - TRADING CARD PREPARATION
 0069844PRIOR, KEVIN MICHAEL• 409 - TRADING CARD PREPARATION
 0010057REBELO, DOMINICK A• 409 - TRADING CARD PREPARATION
 0065345REYNOLDS, DANIEL G• 409 - TRADING CARD PREPARATION
 0064363ROSENBERGER, ANDREW ROY• 409 - TRADING CARD PREPARATION
 0210990ROUGHLEY, MATT JAMES• 409 - TRADING CARD PREPARATION
 0053122SIDER, PHILIP HARLAN• 409 - TRADING CARD PREPARATION
 0197990TORRES, RICHARD• 409 - TRADING CARD PREPARATION
 0247665TRAINA, THOMAS PAUL• 409 - TRADING CARD PREPARATION
 0084886VALENTINE, LEONARD ALAN• 409 - TRADING CARD PREPARATION
 0009293WALSH, JOHN MICHAEL• 409 - TRADING CARD PREPARATION
Committee Summary
No committees have been selected for this case.
Action Summary
 NFA IDRespondentAction Types
 0215117CERISANO, FRANK MICHAEL JR• FLOOR RECORDKEEPING
 0208766COOPER, DAVID M• FLOOR RECORDKEEPING
 0203222DESILVIA, RICHARD CARMINE• FLOOR RECORDKEEPING
 0230265DITORE, ANTHONY JR• FLOOR RECORDKEEPING
 0242382DOHERTY, RUSSELL IAN• FLOOR RECORDKEEPING
 0006029EISLER, NORMAN STANLEY• FLOOR RECORDKEEPING
 0055120FAIR, WALTER EDWARD• FLOOR RECORDKEEPING
 0194206FAVALE, JOSEPH• FLOOR RECORDKEEPING
 0022209FIERMAN, RUSS S• FLOOR RECORDKEEPING
 0065050FLORIN, MARC E• FLOOR RECORDKEEPING
 0201953FLYNN, MICHAEL JOSEPH• FLOOR RECORDKEEPING
 0190106GELLER, ALAN STEVEN• FLOOR RECORDKEEPING
 0196369GRAZIANO, JOSEPH GERARD• FLOOR RECORDKEEPING
 I005841GREENBAUM, JAMES• FLOOR RECORDKEEPING
 0194140HAMERSCHLAG, GREGG LAWRENCE• FLOOR RECORDKEEPING
 0214328HAZEL, SALVATORE A• FLOOR RECORDKEEPING
 0004124HOCHMAN, DANIEL JOHN• FLOOR RECORDKEEPING
 0236748HODAPP, MICHAEL JAMES• FLOOR RECORDKEEPING
 0069826KEARNS, MICHAEL FRANCIS• FLOOR RECORDKEEPING
 0201202KING, RICHARD T• FLOOR RECORDKEEPING
 0003345LOFTUS, PATRICK E• FLOOR RECORDKEEPING
 0194345LOFTUS, SEAN TERRANCE• FLOOR RECORDKEEPING
 0234279LORETTA, JEFFREY• FLOOR RECORDKEEPING
 0063596MORMINO, JOSEPH F JR• FLOOR RECORDKEEPING
 0030275OGRADY, THOMAS J• FLOOR RECORDKEEPING
 0043477PALLADINO, CHRISTINE• FLOOR RECORDKEEPING
 0195072PERAS, ALFRED ANTHONY• FLOOR RECORDKEEPING
 0233173PIERCE, EVAN DOUGLAS• FLOOR RECORDKEEPING
 0069844PRIOR, KEVIN MICHAEL• FLOOR RECORDKEEPING
 0010057REBELO, DOMINICK A• FLOOR RECORDKEEPING
 0065345REYNOLDS, DANIEL G• FLOOR RECORDKEEPING
 0064363ROSENBERGER, ANDREW ROY• FLOOR RECORDKEEPING
 0210990ROUGHLEY, MATT JAMES• FLOOR RECORDKEEPING
 0053122SIDER, PHILIP HARLAN• FLOOR RECORDKEEPING
 0197990TORRES, RICHARD• FLOOR RECORDKEEPING
 0247665TRAINA, THOMAS PAUL• FLOOR RECORDKEEPING
 0084886VALENTINE, LEONARD ALAN• FLOOR RECORDKEEPING
 0009293WALSH, JOHN MICHAEL• FLOOR RECORDKEEPING
Penalty/Event Summary
 NFA IDRespondentPenalty/EventEvent Date
 0215117CERISANO, FRANK MICHAEL JR• FINE-SUMMARY $10
 0208766COOPER, DAVID M• FINE-SUMMARY $50
 0203222DESILVIA, RICHARD CARMINE• FINE-SUMMARY $50
 0230265DITORE, ANTHONY JR• FINE-SUMMARY $10
 0242382DOHERTY, RUSSELL IAN• FINE-SUMMARY $190
 0006029EISLER, NORMAN STANLEY• FINE-SUMMARY $220
 0055120FAIR, WALTER EDWARD• FINE-SUMMARY $60
 0194206FAVALE, JOSEPH• FINE-SUMMARY $85
 0022209FIERMAN, RUSS S• FINE-SUMMARY $10
 0065050FLORIN, MARC E• FINE-SUMMARY $20
 0201953FLYNN, MICHAEL JOSEPH• FINE-SUMMARY $10
 0190106GELLER, ALAN STEVEN• FINE-SUMMARY $50
 0196369GRAZIANO, JOSEPH GERARD• FINE-SUMMARY $50
 I005841GREENBAUM, JAMES• FINE-SUMMARY $50
 0194140HAMERSCHLAG, GREGG LAWRENCE• FINE-SUMMARY $240
 0214328HAZEL, SALVATORE A• FINE-SUMMARY $10
 0004124HOCHMAN, DANIEL JOHN• FINE-SUMMARY $10
 0236748HODAPP, MICHAEL JAMES• FINE-SUMMARY $10
 0069826KEARNS, MICHAEL FRANCIS• FINE-SUMMARY $150
 0201202KING, RICHARD T• FINE-SUMMARY $10
 0003345LOFTUS, PATRICK E• FINE-SUMMARY $50
 0194345LOFTUS, SEAN TERRANCE• FINE-SUMMARY $20
 0234279LORETTA, JEFFREY• FINE-SUMMARY $10
 0063596MORMINO, JOSEPH F JR• FINE-SUMMARY $10
 0030275OGRADY, THOMAS J• FINE-SUMMARY $10
 0043477PALLADINO, CHRISTINE• FINE-SUMMARY $10
 0195072PERAS, ALFRED ANTHONY• FINE-SUMMARY $120
 0233173PIERCE, EVAN DOUGLAS• FINE-SUMMARY $100
 0069844PRIOR, KEVIN MICHAEL• FINE-SUMMARY $50
 0010057REBELO, DOMINICK A• FINE-SUMMARY $150
 0065345REYNOLDS, DANIEL G• FINE-SUMMARY $50
 0064363ROSENBERGER, ANDREW ROY• FINE-SUMMARY $70
 0210990ROUGHLEY, MATT JAMES• FINE-SUMMARY $50
 0053122SIDER, PHILIP HARLAN• FINE-SUMMARY $10
 0197990TORRES, RICHARD• FINE-SUMMARY $10
 0247665TRAINA, THOMAS PAUL• FINE-SUMMARY $50
 0084886VALENTINE, LEONARD ALAN• FINE-SUMMARY $50
 0009293WALSH, JOHN MICHAEL• FINE-SUMMARY $10
Narrative Summary
General Case Narrative
The following Floor Members have been summarily fined for violations of Rule 409 and Regulatory Memorandum 92-2 for the period of April 1, 1992 to September 30, 1992:

Cooper, David $ 50 Geller, Allan $ 50 Cerisano, Frank $ 10 Greenbaum, James $ 50 DiTore, Anthony $ 10 Hamerschlag, Gregg $240 Doherty, Russell $190 Hazel, Salvatore $ 10 DeSilvia, Richard $ 50 Hochman, Daniel $ 10 Eisler, Norman $220 Hodapp, Michael $ 10 Florin, Marc $ 20 Kearns, Michael $150 Favale, Joseph $ 85 King, Richard $ 10 Fair, Walter $ 60 Loretta, Jeffrey $ 10 Fierman, Russ $ 10 Loftus, Sean $ 20 Flynn, Michael $ 10 Loftus, Patrick $ 50 Graziano, Joseph $ 50 Mormino, Joseph $ 10 O'Grady, Thomas $ 10 Peras, Alfred $120 Prior, Kevin $ 50 Pierce, Evan $100 Palladino, Christine $ 10 Rebelo, Dominick $150 Roughley, Matthew $ 50 Rosenberger, Andrew $ 70 Reynolds, Daniel $ 50 Sider, Philip $ 10 Torres, Richard $ 10 Traina, Thomas $ 50 Valentine, Leonard $ 50 Walsh, John $ 10

 
 
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