EMANUEL PANTELAKIS

02/14/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. S.G.MARTIN SECURITIES LLC (BD No. 46908) 366 NORTH BROADWAY, SUITE 408 JERICHO, NY 11753; EMANUEL PANTELAKIS (CRD No. 3074986) PAUL M. GIARMOLEO (CRD No. 2096430) KEITH C. BARON (CRD No. 3231494) Respondents. DISCIPLINARY PROCEEDING NO. 2005000191701 HEARING OFFICER: SW AMENDED COMPLAINT SUMMARY 1. This Complaint charges S.G. Martin Securities LLC, Emanuel Pantelakis, Paul M. Giarmoleo, and Keith C. Baron with

12/26/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. S.G. MARTIN SECURITIES LLC (BD No. 46908) 366 NORTH BROADWAY, SUITE 408 JERICHO, NY 11753; EMANUEL PANTELAKIS (CRD No. 3074986) PAUL M. GIARMOLEO (CRD No. 2096430) KEITH C. BARON (CRD No. 3231494) Respondents. DISCIPLINARY PROCEEDING No. 2005000191701 HEARING OFFICER: COMPLAINT SUMMARY 1. This Complaint charges S.G. Martin Securities LLC, Emanuel Pantelakis, Paul M. Giarmoleo, and Keith C. Baron with

01/02/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. S.G. MARTIN SECURITIES, LLC, BD No. 46908, and EMANUEL PANTELAKIS, CRD No. 3074986, Respondents. Disciplinary Hearing No. 2005000191701 Hearing Officer: SW ORDER ACCEPTING OFFER OF SETTLEMENT Date: January 2,2008 INTRODUCTION Disciplinary Proceeding No. 2005000191701 was filed on December 26, 2006, by the Department of Market Regulation of FINRA ("Complainant"). Respondents S.G. Martin

Reference 2005000191701data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org