Enforcement Actions
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.
Enforcement Actions
| Name | Agency Involved | Alleged Violation | Nature of Alleged Violation | Report | Report Year(s) |
Status | Settlement Amount/ Civil Penalty |
Date Posted |
|---|---|---|---|---|---|---|---|---|
| Seny Taveras | CUNY Hostos Community College | Public Officers Law §§ | Conflict of Interest, Failure to Disclose | Financial Disclosure Statement | 2014-19 | Settled | $8,000 | 2022-06-30 |
| Bolton-St. Johns, LLC | Legislative Law 1-A §§ 1-e and 1-h | Failure to File | Lobbyist Statements of Registration and/or Registration Amendments; Lobbyist Bi-Monthly Reports | 2021-22 | Settled | $97,417 | 2022-06-13 | |
| Shivanand Kalipersadsingh | Metropolitan Transportation Authority | Public Officers Law §§ 73-a(4) and 74(3)(d) | Failure to Disclose, Code of Ethics | Financial Disclosure Statement | 2018-19 | Settled | $8,000 | 2022-05-17 |
| Luis Lozano | CUNY LaGuardia Community College | Public Officers Law § 74(3)(d) | Code of Ethics | Settled | $1,000 | 2022-05-05 | ||
| Alexander Elegudin | Metropolitan Transportation Authority/NYC Transit | Public Officers Law §§ 74(3)(c) and 73-a(4) | Code of Ethics, Failure to Disclose | Financial Disclosure Statement | 2017-19 | Settled | $5,000 | 2021-11-04 |
| Jonathan Sanders | SUNY Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2018, 2019 | Settled | $300 | 2021-04-01 |
| Luis Barrios | CUNY John Jay College | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2018, 2019 | Settled | $800 | 2021-04-01 |
| Kasirer, LLC | Legislative Law 1-A § 1-m | Gifts | Settled | $5,000 | 2021-03-09 | |||
| AEWS Engineering LLC | Legislative Law 1-A §§ 1-e, 1-h, and 1-j | Failure to Disclose | Lobbyist Statement of Registration, Lobbyist Bi-Monthly, Client Semi-Annual | 2014-15 | Settled | $10,000 | 2021-02-18 | |
| Dan Stefanica | CUNY Baruch College | Public Officers Law § 73-a | Failure to Disclose | Financial Disclosure Statement | 2012-2018 | Settled | $6,000 | 2020-12-22 |
| Jerry Manneh |
Metropolitan Transportation Authority |
Public Officers Law § 74(3)(d) | Code of Ethics | Settled | $1,000 | 2020-11-16 | ||
| Robert Freeman | New York State Committee on Open Government (Department of State) | Public Officers Law §§ 74(3)(d) and (h) | Code of Ethics | Settled | $15,000 | 2020-09-09 | ||
| Michael Pisapia | New York Liquidation Bureau | Public Officers Law § 73-a | Failure to Disclose | Financial Disclosure Statement | 2015-2016 | Settled | $3,000 | 2020-03-12 |
| L&M Development Partners | Legislative Law 1-A §§ 1-e, 1-h, and 1-j | Failure to File | Lobbyist Statement of Registration, Lobbyist Bi-Monthly | Settled | $25,000 | 2019-12-04 | ||
| Douglaston Development, LLC | Legislative Law 1-A § 1-m | Gifts | Settled | $10,000 | 2019-11-13 | |||
| Brookfield Financial Properties, LP | Legislative Law 1-A § 1-m | Gifts | Settled | $30,000 | 2019-09-19 | |||
| Toll Brothers, Inc. and Toll Brooklyn, LP | Legislative Law 1-A § 1-m | Gifts | Settled | $15,000 | 2019-09-19 | |||
| Greenpoint Landing Developers, LLC | Legislative Law 1-A § 1-m | Gifts | Settled | $20,000 | 2019-09-19 | |||
| Anthony Ahanj | Health Research, Inc. | Public Officers Law § 74 (3)(d) | Code of Ethics | Settled | $4,000 | 2019-09-16 | ||
| Former Assembly Member Angela Wozniak | NYS Assembly | Public Officers Law § 74(3)(h) | Code of Ethics | Settled | 2019-08-15 | |||
| Christopher Savage | NYS Senate | Public Officers Law § 74(3)(h) | Code of Ethics | Settled | 2019-08-15 | |||
| Mikhail Bershchanskiy | Metropolitan Transportation Authority | Public Officers Law § 74 (3)(d) | Failure to Disclose, Code of Ethics | Financial Disclosure Statement | 2012-2014 | Settled | $6,500 | 2019-08-08 |
| Sonia Gulati | Empire State Development Corporation | Public Officers Law § 74(3)(d) | Code of Ethics | Settled | $3,000 | 2019-08-07 | ||
| Gustavo Espinal | Metropolitan Transportation Authority/NYC Transit | Public Officers Law §§ 73-a(4), 74(3)(d) | Failure to Disclose, Code of Ethics | Financial Disclosure Statement | 2015-2018 | Settled | $8.500 | 2019-07-10 |
| Alicia Eddie | Department of Motor Vehicles | Public Officers Law § 74 (3)(d) | Code of Ethics | Settled | $750 | 2019-05-01 | ||
| Brandon Washington | Candidate for Assembly | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2017 | Settled | $100 | 2019-04-23 |
| Robert Porter | Candidate for Assembly | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2017 | Settled | $100 | 2019-04-23 |
| Nicholas Ferreiro | Gaming Commission | Public Officers Law § 74 (3)(f) | Code of Ethics | Settled | $0 | 2019-03-06 | ||
| Jonathan Lacay | CUNY Bronx Community College | Public Officers Law § 74 (3)(d) | Code of Ethics | Settled | $1,500 | 2019-03-06 | ||
| Sam Alexis | Department of Motor Vehicles | Public Officers Law §§ 73(5)(a) and 74(3)(d) | Gifts, Code of Ethics | Settled | $2,000 | 2019-03-06 | ||
| Olajide Oladipo | CUNY York Community College | Public Officers Law § 73-a (4) | Failure to Disclose | Failure to File | 2010-2017 | Settled | $6,000 | 2019-03-06 |
| James Breen | Department of Taxation and Finance | Public Officers Law § 73(8)(a)(i) | Post-Employment | Settled | $30,000 | 2019-02-28 | ||
| Former Senator Marc Panepinto | NYS Senate | Public Officers Law §§ 74(3)(d) and (h) | Code of Ethics | Settled | $10,000 | 2019-02-07 | ||
| Luis Barrios | CUNY John Jay College | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2016 | Settled | $100 | 2019-01-17 |
| Willie Walker | Office of General Services | Public Officers Law § 74(3)(d) | Code of Ethics | Settled | $9,000 | 2018-12-27 | ||
| Polsinelli Public Affairs, LLC, Federico Polsinelli, Jr. | Legislative Law 1-A §§ 1-e and 1-h | Failure to File | Statement of Registration, Lobbyist Bi-Monthly | Settled | $4,936.69 | 2018-08-22 | ||
| Bibi Khartoon | SUNY Downstate Medical University | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2016 | Settled | $100 | 2018-08-16 |
| York Group Assocs., LLC, Tiffany Raspberry | Legislative Law 1-A §§ 1-e and 1-h | Failure to File | Statement of Registration, Lobbyist Bi-Monthly | Settled | $2,500 | 2018-08-06 | ||
| Erickson Joseph | New York State Insurance Fund | Public Officers Law § 74(3)(d) | Code of Ethics | Settled | $1,500 | 2018-07-30 | ||
| Kenneth Marvet | New York Liquidation Bureau | Public Officers Law § 73-a | Failure to Disclose | Financial Disclosure Statement | 2015 | Settled | $1,000 | 2018-07-18 |
| William J. Recevuto II | SUNY Downstate Medical Center | Public Officers Law § 73(5)(a) | Gifts | Settled | $4,000 | 2018-05-14 | ||
| 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) | Gifts, 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 Children's 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 Children's 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 Stony Brook | 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 Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2011, 2012 | Settled | $200 | 2014-12-29 |
| Dominick Galluccio | Creedmoor 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 Stony Brook | 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 Stony Brook | 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 § 1-j | 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 § 1-j | 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 § -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 Stony Brook | 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 Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2008 | Civil Assessment | $5000 | 2010-06-10 |
| Robert J. Frey | SUNY Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2008 | Civil Assessment | $2500 | 2010-06-10 |
| Theresa Tiso | SUNY Stony Brook | 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 Associates, 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 Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2007 | Civil Assessment | $0 | 2009-10-22 |
| Ghassan Samara | SUNY Stony Brook | 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 Stony Brook | 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 | |
| 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 Stony Brook | Public Officers Law § 73-a | Failure to File | Financial Disclosure Statement | 2006 | Civil Assessment | $5000 | 2008-12-02 |
| Gregory A. Zachrich | SUNY Maritime 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 Stony Brook | 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 | |
| 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 | |
| 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 |