Source: https://jcope.ny.gov/index.php/enforcement-actions
Timestamp: 2018-04-24 18:09:48
Document Index: 35368062

Matched Legal Cases: ['§1', '§ 1', '§74', '§73', '§74', '§1', '§ 73', '§1', '§1', '§73', '§74', '§74', '§1', '§ 1', '§74', '§74', '§1', '§73', '§73', '§74', '§ 73', '§74', '§73', '§74', '§ 1', '§1', '§1', '§73', '§1', '§74', '§74', '§ 1', '§1', '§74', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§73', '§1', '§1', '§1', '§1', '§73', '§1', 'art 930', '§74', '§73', '§73', '§74', '§74', '§73', '§73', '§1', '§73', '§73', '§74', '§73', '§73', '§1', '§1', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§74', '§74', '§1', '§73', '§1', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§74', '§74', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§73', '§1', '§1', '§1', '§1', '§73', '§73', '§73', '§1', '§1', '§73', '§73', '§73', '§73', '§1', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§74', '§1', '§73', '§1', '§1', '§1', '§1', '§73', '§73', '§73', '§1', '§73', '§73', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§74', '§73', '§73', '§1', '§73', '§1', '§1', '§73', '§73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§73', '§1', '§1', '§73', '§1', '§1', '§73', '§1', '§1', '§1', '§1', '§1', '§ 73', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§1', '§73', '§74', '§74', '§73', '§73', '§1', '§73', '§73']

Enforcement Actions | NYS Joint Commission on Public Ethics
View the enforcement action table of violations of The Public Officers Law and the Lobbying Act.
The enforcement action table default view displays the most recent enforcement actions by date. All column headings can be sorted from ascending or descending order by clicking on the column name. If you know the name of the person or entity you wish to view, use the "search" bar and enter the name.
To view all related documentation, including exhibits, and settlement agreements associated with an enforcement action, click the name of the individual or entity within the "name" column.
Nature of Alleged Violation
Settlement Amount/
James F. Capalino & Associates, Inc./James F. Capalino
Legislative Law 1-A §1-m Gifts Settled $40,000 2018-04-09
New Yorkers for Clean, Livable, and Safe Streets (NYCLASS), Wendy Neu, Steven Nislick Legislative Law 1-A §§ 1-e, 1-h, and 1-m Failure to File, Gifts Statement of Registration, Lobbyist Bi-Monthly, Client Semi-Annual 2014 Settled $10,000 2018-04-09
Mukesh Singhani Metropolitan Transportation Authority/NYC Transit Public Officers Law §74(3)(d) Code of Ethics Settled $0 2018-04-03
Gudeswar Persaud Metropolitan Transportation Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2015, 2016 Settled $4000 2017-12-20
Dominick Mauro Department of Corrections and Community Supervision Public Officers Law §74(3)(h) Code of Ethics Settled $0 2017-09-29
Pledge 2 Protect, Inc. Legislative Law 1-A §1-j False Filing Client Semi-Annual 2013, 2014 Settled $0 2017-06-29
Tracy Kinn Department of Veteran's Affairs Public Officers Law §§ 73(5)(a) and 74(3)(d), (f), and (h) Gift, Code of Ethics Decision $0 2017-06-08
Uber Technologies, Inc. Legislative Law 1-A §§1-h and 1-j Incomplete filing Lobbyist Bi-monthly, Client Semi-Annual 2015, 2016 Settled $98000 2017-06-05
Fred Hiffa Legislative Law 1-A §1-m Gift Settled $10000 2017-03-17
John Cook Department of Transportation Public Officers Law §§73(5)(a) and 74(3)(d), (f), and (h) Gift, Code of Ethics Settled $5000 2017-03-17
John F. Williams, Jr. SUNY Downstate Medical Center Public Officers Law §74(3)(d) Code of Ethics Settled $3000 2017-02-15
Sidney Gellineau Metropolitan Transportation Authority Public Officers Law §74(3)(d) Code of Ethics Settled $3000 2017-01-19
Administrators for the Professions, Inc. Legislative Law 1-A §1-m Gift Settled $70000 2016-12-28
Glenwood Management Corp. Legislative Law 1-A §§ 1-e, 1-h, and 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2011-2012; 2013-2014 Settled $200000 2016-12-28
Ardlan "Eddie" Feizbakhsh Metropolitan Transportation Authority, NYC Transit Public Officers Law §74(3)(d) Code of Ethics Settled $1500 2016-12-15
Thomas Hoover NYS Athletic Commission Public Officers Law §74(3)(d) Code of Ethics Settled $2000 2016-11-17
State Advisers, LLC Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2011-2016 Decision and
Civil Assessment $180000 2016-11-01
Ritchie Tyson Metropolitan Transportation Authority, NYC Transit Public Officers Law §§73-a and 74(3)(d) Code of Ethics Financial Disclosure Statement 2012, 2013, 2014 Settled $4000 2016-10-27
William Weaver Department of Corrections and Community Supervision - Auburn Correctional Facility Public Officers Law §73(14)(a) Nepotism Settled $1500 2016-10-27
William C. Lindner Metropolitan Transportation Authority Public Officers Law §74(3)(d) Code of Ethics Settled $5000 2016-04-11
Stedroy Fergus Metropolitan Transportation Authority Public Officers Law §§ 73(5)(a) and (14)(a) Gift, Nepotism, Code of Ethics Settled $2500 2016-02-24
Former Assemblymember Dennis Gabryszak NYS Assembly Public Officers Law §§74(3)(d), (f), and (h) Code of Ethics Substantial Basis Investigation Report $100000 2015-12-31
Joseph Flora Office of the Medicaid Inspector General Public Officers Law §§73(5)(a), (b), and 74(3)(d), (f), and (h) Gift, Code of Ethics Settled $14000 2015-11-17
Theresa Do NYS Mortgage Agency Public Officers Law §§74(3)(d) and (h) Code of Ethics Settled $1500 2015-10-28
Housing Works, Inc. Legislative Law 1-A §§ 1-e, 1-h, and 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2010, 2011, 2012, 2013, 2014, 2015 Settled $50000 2015-10-22
IP Mortgage Borrower, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2014, 2015 Settled $2000 2015-10-22
Mason Management Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2011 Settled $6000 2015-10-22
Eustace Castellaneta Metropolitan Transportation Authority Public Officers Law §§73(14)(a) and 74(3)(d), (f) and (h) Nepotism, Code of Ethics Settled $1500 2015-07-24
Health Management Systems, Inc. ("HMS") Legislative Law 1-A §1-m Gift Settled $75000 2015-06-25
John J. O'Connor SUNY Research Foundation Public Officers Law §§74(3)(d), (f), and (h) Code of Ethics Decision and Order $ 2015-05-27
Steven Kuhr NYS Division of Homeland Security Public Officers Law §74(3)(d) Code of Ethics Settled $4000 2015-05-21
DCI Group AZ, LLC Legislative Law 1-A §§ 1-e, 1-h, and 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2013, 2014 Settled $15000 2015-05-12
Potomac Communications Strategies, Inc. Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2013, 2014 Settled $12000 2015-05-12
Juan Alvarenga Office of General Services, NYS Public Officers Law §74(3)(d) Code of Ethics Settled $2000 2015-03-16
Akhil Lal Bronx Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010, 2011, 2012, 2013 Settled $800 2015-03-04
Amy Fillat NYC Childrens Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 2015-03-04
Daniel Smuckler Bronx Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010, 2011, 2012, 2013 Settled $800 2015-03-04
David Shaffer NYS Psychiatric Institute Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 2015-03-04
Jessica Berrios Nassau Healthcare Corporation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $400 2015-03-04
John Woodruff NYC Transit Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2015-03-04
Lino Vlacic Manhattan & Bronx Surface Transit Operating Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 2015-03-04
Maureen Becker College of Staten Island Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $200 2015-03-04
Michael Gonzalez Roswell Park Cancer Institute Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 2015-03-04
Michael Harrigan NYC Childrens Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 2015-03-04
Norma Pena-De-Llorenz Hostos Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 2015-03-04
Peter Savio NYS Energy Research & Development Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2015-03-04
Rosalyn Alexander Hunter College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $300 2015-03-04
Stephen Stoute Harlem Community Development Corporation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 2015-03-04
Steven Willner CUNY Central Office Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 2015-03-04
Ann Scheidt SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 2014-12-29
Arlene Kraat Queens College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2014-12-29
Arnaldo Lopez NYC Transit Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2014-12-29
Daniel Shure CUNY Central Office Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Dawn Williamson Nassau Healthcare Corporation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $200 2014-12-29
Derrick O'Neal NYC Transit Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 2014-12-29
Diana Hannan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $200 2014-12-29
Dominick Galluccio Creedsmoor Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Eduardo Rios Staten Island College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Faustino Quintanilla Queensborough Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Jean M. Tully SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Jitinder Walia Bronx Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $200 2014-12-29
John Meringolo Nassau Healthcare Corporation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 2014-12-29
Mark Watkins Manhattan & Bronx Surface Transit Operating Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2014-12-29
Robert Neviaser SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $200 2014-12-29
Theresa Williams Medgar Evers College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 2014-12-29
William F. Schwarz Department of Health Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 2014-12-29
Blackboard, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Decision and Civil Assessment $9000 2014-11-25
Community Redemption Center Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2012 Decision and Civil Assessment $15000 2014-11-25
YL Management, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Decision $0 2014-11-25
Rotate Black, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2000 2014-09-10
Sherry Herrington Metropolitan Transportation Authority Public Officers Law §73(14)(a) Nepotism Settled $3500 2014-08-26
Ronald Edelstein Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2000 2014-08-04
David N. Ellenhorn Attorney General's Office 19 NYCRR Part 930.6 Travel Settled $0 2014-07-23
Glenn LaFave Hudson River Black River Regulating District Public Officers Law §74(3)(d) Code of Ethics Settled $5000 2014-06-30
Michael Partigianoni SUNY Cortland Public Officers Law §73(5)(a) Gift Settled $4672 2014-06-12
John Sieber Roswell Park Cancer Institute Public Officers Law §73(8)(a)(i) Post Employment Settled $2500 2014-05-12
Antonio Cabrera Metropolitan Transportation Authority Public Officers Law §74(3)(c) Code of Ethics Settled $2000 2014-03-13
Mohammad Baalbaki Metropolitan Transportation Authority Public Officers Law §74(3)(d) Code of Ethics Settled $1500 2014-03-13
S. Helen Daniels Empire State Development Corporation Public Officers Law §73(7)(a) Conflict of Interest, Code of Ethics Settled $5000 2014-02-04
Larry Selan Department of Transportation Public Officers Law §§73(5)(a) and 74(3)(d),(f), & (h) Gift, Code of Ethics Settled $2000 2014-01-27
Mercury Public Affairs Legislative Law 1-A §§1-e, 1-h(a), 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2011, 2012 Settled $20000 2013-09-11
Carlos Ortiz Department of Public Service Public Officers Law §73(5)(a) Gift Settled $1000 2013-08-14
Joseph Klesin Department of Public Service Public Officers Law §73(5)(a) Gift Settled $1500 2013-08-14
Steven Blaney Department of Public Service Public Officers Law §74(3)(d) Code of Ethics Settled $1500 2013-08-14
Dan Isaacs Political Party Chair Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010 FDS Filed $ 2013-07-17
Ralph Lorigo Political Party Chair Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010 FDS Filed $0 2013-07-13
Micah Riggs, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2000 2013-06-28
National Grid Legislative Law 1-A §1-m Gift Settled $25000 2013-06-25
Black Agency Executives Legislative Law 1-A §1-j Failure to File Settled $1000 2013-06-13
King Cleaning Association Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1000 2013-06-12
Dr. Yasha Yi CUNY Staten Island Public Officers Law §73(15) Participating in State Contract Decision Settled $64831 2013-05-30
Inner City Development, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $0 2013-05-28
Uncle Sam's House, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 2013-05-28
Clinica Modelo Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 2013-05-25
Private Attorney Defense Services, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2000 2013-05-15
Mario Guerra Metropolitan Transportation Authority Public Officers Law §74(3)(f) Gift, Code of Ethics Settled $0 2013-04-16
Assembly Member Vito Lopez NYS Assembly Public Officers Law §§74(3)(d), (f), and (h) Code of Ethics Legislative Ethics Commission's Disposition and Notice of Civil Assessment $330000 2013-02-12
Kenneth Plummer D/B/A Kensworth Consulting Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2009 Settled $2000 2012-12-28
James Ludlam Department of Environmental Conservation Public Officers Law §73(8)(a)(ii) Post Employment Settled $250 2012-12-21
Phusion Projects, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1000 2012-12-21
Peter Kiernan Executive Chamber Public Officers Law §73(8)(a)(iv) Post Employment Settled $3500 2012-12-17
Metatomix, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1000 2012-12-04
Imagedoc USA, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1000 2012-08-28
Manheim Auctions, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2500 2012-08-28
NYC Central Labor Council Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2500 2012-08-28
Small Hotel Owners Association, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1500 2012-08-28
McCarton Foundation Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1000 2012-07-26
NYS Coalition Against Domestic Violence Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1500 2012-07-26
O'Connor Capital Partners Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2500 2012-07-26
Govdelivery Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2500 2012-07-03
Redflex Traffic Systems Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1500 2012-07-03
360 Brooklyn Investors, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2000 2012-06-26
Atlantis Health Plan Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $3000 2012-06-26
Comverge, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2011 Settled $4000 2012-06-26
David Wilcox Department of Health Public Officers Law §§73(8)(a)(i) and (ii), 73(5)(a), and 74(3)(d) and (h) Post Employment, Code of Ethics Settled $1300 2012-06-26
Liquid Asphalt Distributors Association, Inc., of New York Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $500 2012-06-26
The Leser Group Legislative Law 1-A §1-j Failure to file Client Semi-Annual 2010, 2011 Settled $2500 2012-06-26
Titan Outdoor, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2011 Settled $2500 2012-06-26
Community Redemption Center Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $2500 2012-01-31
Housing Works, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $3000 2012-01-31
Imagedoc USA Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2012-01-31
S&L Birchwood, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $1500 2012-01-31
YL Management, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $600 2012-01-31
Ben Masaitis NYS Theatre Institute Public Officers Law §§74(3)(d) and (h) Code of Ethics Decision and Civil Assessment $0 2012-01-11
Robin Korherr Office of Homeland Security Public Officers Law §§74(3)(d), (f), and (h) Code of Ethics Civil Assessment $4000 2012-01-11
Bearing Point, LLC Legislative Law 1-A §1-j(b)(5)(i) Failure to File Client Semi-Annual 2006 Decision and Order $0 2011-12-20
Crucible Materials Corporation Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 2011-12-20
Tarrytown Music Hall Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 2011-12-20
City of Utica Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
Ditma Park Rehab/Care Center Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
Govdelivery, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
O'Connor Capital Partners Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
Port Parties, Ltd. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
Public Consulting Group Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2011-04-14
Julie Switzer Westchester County Healthcare Corporation Public Officers Law §§73(5)(a) and 74(3)(d), (f), and (h) Gift, Code of Ethics Settled $1000 2011-02-16
3rd Avenue Management, LLC Legislative Law 1-A §1-j Late Filing Client Semi-Annual 2009 Civil Assessment $1500 2011-02-15
David L. Kempton, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $250 2011-02-15
Housing Works, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $5000 2011-02-15
Public Consulting Group Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $10000 2011-02-15
Governor David A. Paterson Executive Chamber Public Officers Law §§73(5) and 74(3)(d), (f) and (h) Gift, Code of Ethics Civil Assessment $62125 2011-02-03
Excelsior Advocates, LLC Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration 2007 Settled $5000 2010-12-09
Jared Abbruzzese, as Director of Friends of New York Racing, Inc. Legislative Law 1-A §1-m Gift Decision and Order $0 2010-12-09
United University Professions Legislative Law 1-A §1-m Gift 2008 Civil Assessment $0 2010-12-09
Community Advocacy & Advisory Services Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2009 Civil Assessment $3000 2010-10-14
Community Services for Brooklyn, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 2010-10-14
Conservation Services Group, Inc. Legislative Law 1-A §1-m Gift Settled $7500 2010-10-14
GSDP, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2010-10-14
Housing Works Albany Advocacy Center Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2009 Civil Assessment $3000 2010-10-14
Bruce Sauter Office of Real Property Services Public Officers Law §73(8)(a)(i) Post Employment Settled $8000 2010-08-12
Clifton VanGuilder Department of Environmental Conservation Public Officers Law §§73(5) and 74(3)(d), (f) and (h) Gift, Code of Ethics Settled $15000 2010-08-12
Forest View Adult Care Center Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2010-08-12
Magnum Real Estate Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 2010-08-12
Nice Systems Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $1000 2010-08-12
Sheinkopf Ltd. Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration 2007 Settled $7500 2010-08-12
Stuart Chen SUNY Buffalo Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $5000 2010-08-12
William J. Lennarz SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $400 2010-08-12
Betty A. Hughes Department of Environmental Conservation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $2500 2010-06-10
Carl Figliola & Associates Legislative Law 1-A §1-e(d) Failure to File Registration Amendment 2007 Settled $750 2010-06-10
EG Sales, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Closed $0 2010-06-10
Jeff T. Casey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $5000 2010-06-10
Robert J. Frey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $2500 2010-06-10
Theresa Tiso SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $400 2010-06-10
Michael Israel Nassau Healthcare Corporation Public Officers Law §73(5) and 74(3)(d), (f), and (h) Gift, Code of Ethics Settled $3000 2010-04-14
Brady & Company, LLC on behalf of Augustine Parochial Schools Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $1000 2010-04-08
Cooper Square Hotel, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1500 2010-04-08
Democrats for Education Reform Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1500 2010-04-08
Leslie Koch Governors Island Preservation & Education Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $3600 2010-04-08
Nice Systems, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1200 2010-04-08
Phoenixone Communications Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1200 2010-04-08
Powers & Co. on behalf of BearingPoint, Inc. Legislative Law 1-A §§1-e(a)(4) and 1-h(b)(5)(i) Failure to File Statement of Registration 2006 Settled $500 2010-04-08
Powers & Co. on behalf of Lincoln Center for the Performing Arts, Inc. Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration 2007 Settled $500 2010-04-08
Quadriad Realty Partners Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $2000 2010-04-08
Sheinkopf Ltd. Legislative Law 1-A §1-c(h) and, 1-j Failure to File Client Semi-Annual 2007 Settled $7500 2010-04-08
Wolf Block Public Strategies on behalf of Food Allergy Initiative Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2007 Settled $500 2010-04-08
Boymelgreen Developers Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2010-02-22
Buffalo Niagara Association of Realtors, Inc. Legislative Law 1-A §1-m Gift Settled $250 2010-02-22
Meyer, Suozzi, English & Klein, P.C. Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration 2007-2008 Settled $2500 2010-02-22
MMM Group, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2010-02-22
Nassau-Suffolk Water District Commissioners Assn. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 2010-02-22
NYS Conf. International Union of Operating Engineers Legislative Law 1-A §1-m Gift Settled $250 2010-02-22
The Correctional Officers & Police Benevolent Association, Inc. Legislative Law 1-A §1-m Gift Settled $250 2010-02-22
Bill Lynch Associates Inc. on behalf of Trustees of Columbia University of NYC Legislative Law 1-A §1-e(d) Failure to File Registration Amendment 2007 Settled $2500 2009-12-10
Greater Rochester Association of Realtors Legislative Law 1-A §1-m Gift Settled $250 2009-12-10
New Sunset Industrial Park LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2009-12-10
NYS Association of Health Care Providers Legislative Law 1-A §1-m Gift Settled $250 2009-12-10
Patricia Lynch Association, Inc. Legislative Law 1-A §1-e(a)(4) Failure to File Settled $500 2009-12-10
Ryo Cigar Association, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 2009-12-10
Preston Felton Executive Chamber Public Officers Law §§74(3)(c),(d), and (h) Code of Ethics Settled $0 2009-11-24
Aeralert US, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $1500 2009-10-22
Alan Forrest SUNY Buffalo Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006, 2007 Civil Assessment $2000 2009-10-22
Amardeep Singh on behalf of the Sikh Coalition, Inc. Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Civil Assessment $3500 2009-10-22
Bolton St. Johns Inc. on behalf of Medtonic Sofamor Danek, USA, Inc. Legislative Law 1-A §§1-e(a)(4), and 1-h(b)(5) Failure to File Statement of Registration 2007-2008 Settled $500 2009-10-22
Crane Vacco & Crane Consulting on behalf of Delaware North Legislative Law 1-A §1-m Gift Settled $5000 2009-10-22
Crane Vacco on behalf of Cable NY Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2004, 2005 Settled $5000 2009-10-22
Elin Waring CUNY Lehman College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1400 2009-10-22
Eugene Mohan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $0 2009-10-22
Ghassan Samara SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $0 2009-10-22
Ichud Mosdos Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $2500 2009-10-22
John C. Maerz SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $0 2009-10-22
Kathryn E. Palomino SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $2000 2009-10-22
Michael Marriott CUNY Baruch College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1400 2009-10-22
New York Trial Lawyers Association Legislative Law 1-A §1-m Gift Settled $250 2009-10-22
NYS Laborers PAC Legislative Law 1-A §1-m Gift Settled $250 2009-10-22
Powers Crane & Co. on behalf of Delaware North Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50000 2009-10-22
Powers Crane & Co. on behalf of Duane Reade Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50000 2009-10-22
Powers Crane & Co. on behalf of NYS Laborer's PAC Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50000 2009-10-22
The Association of PBA's Legislative Law 1-A §1-m Gift Settled $250 2009-10-22
Uniformed Firefighters Association Legislative Law 1-A §1-m Gift 2008 Settled $250 2009-10-22
Valerie Lancaster Beal CUNY Board of Trustees Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $400 2009-10-22
Darren Dopp Executive Chamber Public Officers Law §§74(3)(d) and (h) Code of Ethics Civil Assessment $10000 2009-10-07
Jeff T. Casey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1400 2009-08-06
Hernan Makse CUNY Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $200 2009-06-12
Independent Beer Wholesalers of NY Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $6000 2009-06-12
James Brunet Department of Transportation Public Officers Law §73(8)(a)(i) Post Employment Settled $10000 2009-06-12
Star 3005 LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1000 2009-06-12
Uniformed EMS Officers Union, FDNY, Local 3621 Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $3500 2009-06-12
Marie G. Dimicco Westchester County Healthcare Corporation Public Officers Law §73(8)(a) Post Employment Settled $25000 2009-05-04
Paul Wolfe Workers Compensation Board Public Officers Law §73(8)(a) Post Employment Settled $3000 2009-04-29
Air Pegasus Heliport, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $2500 2009-04-28
American Recycling Technologies, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2009-04-28
Raby Alexander, Group on behalf of Cybersettle Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Civil Assessment $3000 2009-04-28
ADG-SOHO, LLC Legislative Law 1-A §1-j Late Filing Client Semi-Annual 2008 Settled $500 2009-02-04
Independent Beer Distributors of New York Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $5000 2009-02-03
New York IKFD, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $1500 2009-02-03
Amardeep Singh on behalf of the Sikh Coalition, Inc. Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 2008-12-02
Amardeep Singh on behalf of the Sikh Coalition, Inc. Legislative Law 1-A §1-h Late Filing Lobbyist Bi-monthly 2008 Settled $250 2008-12-02
American Alternative Fuels Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
Brady & Company, LLC on behalf of Work Loss Data Institute Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 2008-12-02
Cherokee North Shore, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
Eugene Mohan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $5000 2008-12-02
Gregory A. Zachrich SUNY Martime College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2500 2008-12-02
Independence Plaza Association LLC/Stellar Management Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 2008-12-02
Independent Plaza Associates, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 2008-12-02
John C. Maerz SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2500 2008-12-02
Knapp Street Developers, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
Michael Tobman on behalf of Older Adults Technology Services Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 2008-12-02
Robert J. Frey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $300 2008-12-02
Seneca Cayuga Tribe of Oklahoma Legislative Law 1-A §1-j False Filing Client Semi-Annual 2005 Settled $500 2008-12-02
SRK Consulting Group Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
Tadis Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
The Parkside Group, LLC Legislative Law 1-A §1-e Failure to File Statement of Registration, Registration Amendment 2003 Settled $500 2008-12-02
Westchester Industrial Development Agency Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-12-02
Richard Gerardi NYS Energy Research & Development Authority Public Officers Law §§ 73(5); 74(3)(d),(f), and (h) Gift, Code of Ethics Settled $2460 2008-10-28
Agusta & Ross Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Brown, McMahon & Weinraub, LLC on behalf of Women's Bar Association of NY Legislative Law 1-A §1-e Failure to File Statement of Registration 2005 Settled $300 2008-10-07
Buley Public Affairs, LLC on behalf of Forrest City Ratner Companies Legislative Law 1-A §1-e Failure to File Registration Amendment 2004 Settled $500 2008-10-07
CPS 5 LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Hallett's Point Development, LLC on behalf of Agusta and Ross Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
IAQ, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Kelly & Roth on behalf of Erie Basin Marine Association Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Marsh Wasserman & McHugh, LLC on behalf of Morton Grove Pharmaceuticals Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2005 Settled $350 2008-10-07
Middle Class Home Builders Coalition Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Millennium Partners, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
New York Staffing Association Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 2008-10-07
Parsons Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Pirro-Buley & Associates on behalf of Forrest City Ratner Companies Legislative Law 1-A §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2005 Settled $500 2008-10-07
Port Parties, Ltd. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 2008-10-07
Quadriad Realty Partners Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Show Media New York, LLC Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Synergy Business Management Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
The Bodega Association of the United States, Inc. Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Western New York Care Coordination Program Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-07
Working Families Organization Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2006 Settled $250 2008-10-07
Educational Housing Services Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 2008-10-02
Martin Smith Harlem Community Development Corporation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $400 2008-08-05
Richard Baum Executive Chamber Public Officers Law §74(3)(h) Code of Ethics Settled $0 2008-07-08
William Howard New York State Police Public Officers Law §74(3)(h) Code of Ethics Settled $0 2008-06-25
Walter L. Williams Bronx Children's Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2600 2008-06-19
Angela Hacker Metropolitan Transportation Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $400 2008-02-08
Empire Resorts Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2006 Settled $2500 2008-02-08
Roger T. Gray Office of Children and Family Services, NYS Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $400 2008-02-08
Evelyn Rollins Executive Chamber Public Officers Law §§73(7)(a), 73(8)(a)(ii), and 73(12) Post Employment, Conflict of Interests Settled $15000 2008-02-04