Defendant Name: James V. Parolisi

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of David A. Finnerty, Donald R. Foley II, Scott G. Hunt, Thomas J. Murphy, Jr., Kevin M. Fee, Frank A. Delaney IV, Freddy DeBoer, Todd J. Christie, James V. Parolisi, Robert W. Luckow, Patrick E. Murphy, Robert A. Johnson, Jr., Patrick J. McGagh, Jr., Joseph Bongiorno, Michael J. Hayward, Richard P. Volpe, Michael F. Stern, Warren E. Turk, Gerard T. Hayes, and Robert A. Scavone, Jr.
First Document Date 12-Apr-2005
Initial Filing Format Administrative Action
File Number 3-11893
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Section 11(b) Exchange Act; Rule 11b-1 Exchange Act; Rules 104, 92, 123B, 401 New York Stock Exchange

Resolutions

Bars:
First Resolution Date 13-Jul-2009

Related Documents:

33-8566-o_3-11448 12-Apr-2005 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933 and Sections 15(B), 21c and 11(B) of the Securities Exchange Act of 1934 and Rule 11b-1 Thereunder
id381cff_3-11448 13-Jul-2009 ALJ Initial Decision
Initial Decision as to Donald R. Foley II, Scott G. Hunt, Frank A. Delaney IV, James V. Parolisi, Robert W. Luckow, Robert A. Johnson, Jr., Richard P. Volpe, and Robert A. Scavone, Jr.

Other Defendants in Action:

Todd J. Christie
Patrick E. Murphy
Robert W. Luckow
Robert A. Johnson, Jr.

Related Actions:

In the Matter of Spear, Leeds & Kellogg Specialists LLC
Spear, Leeds & Kellogg Specialists LLC