Table Page

Name Agency Involved Alleged Violation   Report Report Year(s) Status Settlement Amount/Civil Penalty Date Posted
360 Brooklyn Investors, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2,000 6/26/2012
3rd Avenue Management, LLC   Legislative Law 1-A §1-j Late Filing Client Semi-Annual 2009 Civil Assessment $1,500 2/15/2011
ADG-SOHO   Legislative Law 1-A §1-j Late Filing Client Semi-Annual 2008 Settled $500 2/4/2009
Administrators for the Professions, Inc.   Legislative Law §1-A §1-m Gift to Public Official     Settled $70,000 12/28/2016
Aeralert US, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $1,500 10/22/2009
Agusta & Ross   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Air Pegasus Heliport, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $2,500 4/28/2009
Akhil Lal Bronx Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010, 2011, 2012, 2013 Settled $800 3/4/2015
Alan Forrest SUNY Buffalo Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006, 2007 Civil Assessment $2,000 10/22/2009
Amardeep Singh on behalf of the Sikh Coalition, Inc.   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Civil Assessment $3,500 10/22/2009
Amardeep Singh on behalf of the Sikh Coalition, Inc.   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 12/2/2008
Amardeep Singh on behalf of the Sikh Coalition, Inc.   Legislative Law 1-A §1-h Late Filing Lobbyist Bi-monthly 2008 Settled $250 12/2/2008
American Alternative Fuels   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
American Recycling Technologies, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 4/28/2009
Amy Fillat NYC Childrens Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 3/4/2015
Angela Hacker Metropolitan Transit Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $400 2/8/2008
Ann Scheidt SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 12/29/2014
Antonio Cabrera Metropolitan Transit Authority Public Officers Law §74(3)(c) Confidential Information     Settled $2,000 3/13/2014
Ardlan "Eddie" Feizbakhsh Metropolitan Transit Authority, NYC Transit Public Officers Law § 74(3)(d) Misuse of Office     Settled $1,500 12/15/2016
Arlene Kraat Queens College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 12/29/2014
Arnaldo Lopez NYC Transit Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 12/29/2014
Assembly Member Vito Lopez NYS Assembly Public Officers Law §§74(3)(d), (f), and (h) Misuse of Office     Legislative Ethics Commission's Disposition and Notice of Civil Assessment $330,000 2/12/2013
Atlantis Health Plan   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $3,000 6/26/2012
Bearing Point   Legislative Law 1-A§1-j(b)(5)(i) Failure to File Client Semi-Annual 2006 Decision and Order $0 12/20/2011
Ben Masaitis NYS Theatre Institute Public Officers Law §§74(3)(d) and (h) Misuse of Office     Decision and Civil Assessment $0 1/11/2012
Betty A. Hughes Department of Environmental Conservation Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $2,500 6/10/2010
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 $2,500 12/10/2009
Black Agency Executives   Legislative Law 1-A Failure to File     Settled $1,000 6/13/2013
Blackboard, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Decision Civil Assessment $9,000 11/25/2014
Bolton St. Johns Inc. on behalf of Medtonic Sofamor Danek, USA, Inc.   Legislative Law 1-A §1-e(a)(4), 1-h(b)(5) Failure to File Statement of Registration 2007-2008 Settled $500 10/22/2009
Boymelgreen Developers   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2/22/2010
Brady & Co. on behalf of Augustine Parochial Schools   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $1,000 4/8/2010
Brady & Company on behalf of Work Loss Data Institute   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 12/2/2008
Brady & Company on behalf of Work Loss Data Institute   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 12/2/2008
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 10/7/2008
Bruce Sauter Office of Real Property Services Public Officers Law §73(8)(a)(i) Post Employment     Settled $8,000 8/12/2010
Buffalo Niagara Association of Realtors, Inc.   Legislative Law§1-m Gift     Settled $250 2/22/2010
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 10/7/2008
Carl Figliola & Associates   Legislative Law § 1-e(d) Failure to File Registration Amendment 2007 Settled $750 6/10/2010
Carlos Ortiz Department of Public Service Public Officers Law §73(5)(a) Gift     Settled $1,000 8/14/2013
Cherokee North Shore   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
City of Utica   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Clifton VanGuilder Department of Environmental Conservation Public Officers Law §73(5) and 74(3)(d), (f) and (h) Gift     Settled $15,000 8/12/2010
Clinica Modelo   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order missing 5/25/2013
Community Advocacy & Advisory Services   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2009 Civil Assessment $3,000 10/14/2010
Community Redemption Center   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2012 Decision and Civil Assessment $15,000 11/25/2014
Community Redemption Center   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $2,500 1/31/2012
Community Services for Brooklyn, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 10/14/2010
Comverge, Inc.   Legislative Law 1-A Failure to File Client Semi-Annual 2010, 2011 Settled $4,000 6/26/2012
Conservation Services Group, Inc.   Legislative Law §1-m Gift     Settled $7,500 10/14/2010
Cooper Square Hotel, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1,500 4/8/2010
CPS 5 LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Crane Vacco & Crane Consulting on behalf of Delaware North   Legislative Law 1-A§1-m Gift     Settled $5,000 10/22/2009
Crane Vacco on behalf of Cable NY   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2004, 2005 Settled $5,000 10/22/2009
Crucible Materials Corporation   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 12/20/2011
Dan Isaacs Political Party Chair Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010 FDS Filed FILED 7/17/2013
Daniel Shure CUNY Central Office Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
Daniel Smuckler Bronx Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010, 2011, 2012, 2013 Settled $800 3/4/2015
Darren Dopp Executive Chamber Public Officers Law §§74(3)(d) and (h) Misuse of Office     Civil Assessment $10,000 10/7/2009
David L. Kempton, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $250 2/15/2011
David N. Ellenhorn Attorney General's Office 19 NYCRR Part 930.6 Travel     Settled $0 7/23/2014
David Shaffer Psychiatric Institute Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 3/4/2015
David Wilcox Department of Health, NYS Public Officers Law §§73(8)(a)(i), 73(8)(a)(ii), 73(5)(a), 74(3)(d), 74(3)(h) Post Employment     Settled $1,300 6/26/2012
Dawn Williamson Nassau Healthcare Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $200 12/29/2014
DCI Group AZ, LLC   Legislative Law 1-A §§1-e, 1-h, 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2013, 2014 Settled $15,000 5/12/2015
Democrats for Education Reform   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1,500 4/8/2010
Derrick O'Neal NYC Transit Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 12/29/2014
Diana Hannan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $200 12/29/2014
Ditma Park Rehab/Care Center   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Dominick Galluccio Creedsmoor Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
Dominick Mauro Department of Corrections and Community Supervison Public Officers Law § 74(3)(h) Misuse of office     Settled $0 9/29/2017
Dr. Yasha Yi CUNY Staten Island Public Officers Law §73(15) Participating in State contract decision     Settled $64,831 5/30/2013
Eduardo Rios Staten Island College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
Educational Housing Services   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/2/2008
EG Sales, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009   CLOSED  
Elin Waring CUNY Lehman College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1,400 10/22/2009
Empire Resorts   Legislative Law 1-A §§1-j Failure to File Client Semi-Annual 2006 Settled $2,500 2/8/2008
Eugene Mohan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $0 10/22/2009
Eugene Mohan SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $5,000 12/2/2008
Eustace Castellaneta Metropolitan Transit Authority Public Officers Law §§73(14)(a) and 74(3)(d), (f) and (h) Nepotism     Settled $1,500 7/24/2015
Evelyn Rollins Executive Chamber Public Officers Law §§73(7)(a), 73(8)(a)(ii), and 73(12) Post Employment     Settled $15,000 2/4/2008
Excelsior Advocates   Legislative Law §§1-e and 1-h Failure to File Statement of Registration 2007 Settled $5,000 12/9/2010
Faustino Quintanilla Queensborough College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
Forest View Adult Care Center   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 8/12/2010
Former Assemblymember Dennis Gabryszak Assembly Public Officers Law §§74(3)(d), (f), and (h) Misuse of Office     Substantial Basis Investigation Report $100,000 12/31/2015
Fred Hiffa   Legislative Law 1-A Gift     Settled $10,000 3/17/2017
Ghassan Samara SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $0 10/22/2009
Glenn LaFave Hudson River Black River Regulating District Public Officers Law §74(3)(d) Misuse of Office     Settled $5,000 6/30/2014
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 $200,000 12/28/2016
Govdelivery Inc.   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $2,500 7/3/2012
Govdelivery, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Governor David A. Paterson Executive Chamber Public Officers Law §§73(5) and 74(3)(d), (f) and (h) Gift     Civil Assessment $62,125 2/3/2011
Greater Rochester Association of Realtors   Legislative Law 1-A§1-m Gift     Settled $250 12/10/2009
Gregory A. Zachrich SUNY Martime College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2,500 12/2/2008
GSDP, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 10/14/2010
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 10/7/2008
Hernan Makse CUNY Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $200 6/12/2009
HMS   Legislative Law 1-A§1-m Gift     Settled $75,000 6/25/2015
Housing Works Albany Advocacy Center   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2009 Civil Assessment $3,000 10/14/2010
Housing Works, Inc.   Legislative Law 1-A §§1-e, 1-h, 1-j Failure to File Statement of Registration, Lobbyist Bi-monthly, Client Semi-Annual 2010, 2011, 2012, 2013, 2014, 2015 Settled $50,000 10/22/2015
Housing Works, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $3,000 1/31/2012
Housing Works, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $5,000 2/15/2011
IAQ, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Ichud Mosdos   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $2,500 10/22/2009
Imagedoc USA   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 1/31/2012
Imagedoc USA, Inc.   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1,000 8/28/2012
Independence Plaza Association LLC/Stellar Management   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 12/2/2008
Independent Beer Distributors of New York   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $5,000 2/3/2009
Independent Beer Wholesalers of NY   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $6,000 6/12/2009
Independent Plaza Associates, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 12/2/2008
Inner City Development, LLC   Legislative Law 1-A Failure to File     Settled $0 5/28/2013
IP Mortgage Borrower, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2014, 2015 Settled $2,000 10/22/2015
James Brunet Department of Transportation Public Officers Law §73(8)(a)(i) Post Employment     Settled $10,000 6/12/2009
James Ludlam Department of Environmental Conservation Public Officers Law §73(8)(a)(ii) Post Employment     Settled $250 12/21/2012
Jared Abbruzzese, as Director of Friends of New York Racing, Inc.   Legislative Law§1-m Failure to File     Decision and Order $0 12/9/2010
Jean M. Tully SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
Jeff T. Casey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $5,000 6/10/2010
Jeff T. Casey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1,400 8/6/2009
Jessica Berrios Nassau Healthcare Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $400 3/4/2015
Jitinder Walia Bronx Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012 Settled $200 12/29/2014
John C. Maerz SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $0 10/22/2009
John C. Maerz SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2,500 12/2/2008
John Cook Department of Transportation Public Officers Law §§73(5)(a) and 74(3)(d), (f), and (h) Gift, Misuse of Office     Settled $5,000 3/17/2017
John F. Williams, Jr SUNY Downstate Medical Center Public Officers Law § 74(3)(d) Misuse of Office     Settled $3,000 2/15/2017
John J. O'Connor SUNY Research Foundation Public Officers Law§ 74(3)(d), (f) and (h) Misuse of Office     Decision and Order   5/27/2015
John Meringolo Nassau Healthcare Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011 Settled $200 12/29/2014
John Sieber Roswell Park Cancer Institute Public Officers Law §73(8) Post Employment     Settled $2,500 5/12/2014
John Woodruff NYC Transit Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 3/4/2015
Joseph Flora OMIG Public Officers Law § 73(5)(a) and (b), §§74(3)(d), (f), and (h) Gift     Settled $14,000 11/17/2015
Joseph Klesin Department of Public Service Public Officers Law §73(5)(a) Gift     Settled $1,500 8/14/2013
Juan Alvarenga Office of General Services, NYS Public Officers Law§74(3)(d) Misuse of Office     Settled $2,000 3/16/2015
Julie Switzer Westchester County Healthcare Corp. Public Officers Law §73(5)(a) and §§74(3)(d), (f), and (h) Gift     Settled $1,000 2/16/2011
Kathryn E. Palomino SUNY Upstate Medical University Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $2,000 10/22/2009
Kelly & Roth on behalf of Erie Basin Marine Association   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
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 $2,000 12/28/2012
King Cleaning Association   Legislative Law 1-A Failure to File     Settled $1,000 6/12/2013
Knapp Street Developers, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
Larry Selan Metropolitan Transit Authority Public Officers Law §§73(5)(a) &§74(3)(d)(f) & (h) Gift, Misuse of Office     Settled $2,000 1/27/2014
Leslie Koch Governors Island Preservation & Education Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $3,600 4/8/2010
Lino Vlacic Manhattan & Bronx Surface Transit Operating Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 3/4/2015
Liquid Asphalt Distributors Association, Inc., of New York   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $500 6/26/2012
Magnum Real Estate   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 8/12/2010
Manheim Auctions, Inc.   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $2,500 8/28/2012
Marie G. Dimicco Westchester County Healthcare Corp. Public Officers Law §73(8)(a) Post Employment   2009 Settled $25,000 5/4/2009
Mario Guerra Metropolitan Transit Authority Public Officers Law §74(3)(f) Misuse of Office     Settled   4/16/2013
Mark Watkins Manhattan & Bronx Surface Transit Operating Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 12/29/2014
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 10/7/2008
Martin Smith Harlem Community Development Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $400 8/5/2008
Mason Management   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010, 2011 Settled $6,000 10/22/2015
Maureen Becker College of State Island Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $200 3/4/2015
McCarton Foundation   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1,000 7/26/2012
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 $20,000 9/11/2013
Metatomix, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1,000 12/4/2012
Meyer, Suozzi, English & Klein, P.C.   Legislative Law§1-e and h Failure to File Statement of Registration 2007-2008 Settled $2,500 2/22/2010
Micah Riggs, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2,000 6/28/2013
Michael Gonzalez Roswell Park Cancer Institute Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 3/4/2015
Michael Harrigan NYC Childrens Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 3/4/2015
Michael Israel Nassau Healthcare Corp. Public Officers Law §73(5) and§74(3)(d), (f), and (h) Gift     Settled $3,000 4/14/2010
Michael Marriott CUNY Baruch College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $1,400 10/22/2009
Michael Partigianoni SUNY Cortland Public Officers Law §73(5)(a) Gift     Settled $4,672 6/12/2014
Michael Tobman on behalf of Older Adults Technology Services   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Settled $250 12/2/2008
Middle Class Home Builders Coalition   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Millennium Partners, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
MMM Group, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 2/22/2010
Mohammad Baalbaki Metropolitan Transit Authority Public Officers Law §74(3)(d) Misuse of Office     Settled $1,500 3/13/2014
Nassau-Suffolk Water District Commissioners Assn.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 2/22/2010
National Grid   Legislative Law§1-A Gift     Settled $25,000 6/25/2013
New Sunset Industrial Park LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $500 12/10/2009
New York IKFD, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Civil Assessment $1,500 2/3/2009
New York Staffing Association   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Settled $250 10/7/2008
New York Trial Lawyers Association   Legislative Law 1-A§1-m Gift   2009 Settled $250 10/22/2009
Nice Systems Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $1,000 8/12/2010
Nice Systems, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1,200 4/8/2010
Norma Pena-De-Llorenz Hostos Community College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 3/4/2015
NYC Central Labor Council   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $2,500 8/28/2012
NYS Association of Health Care Providers   Legislative Law§1-m Gift   2009 Settled $250 12/10/2009
NYS Coalition Against Domestic Violence   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1,500 7/26/2012
NYS Conf. International Union of Operating Engineers   Legislative Law §1-m Gift     Settled $250 2/22/2010
NYS Laborers PAC   Legislative Law 1-A§1-m Gift   2009 Settled $250 10/22/2009
O'Connor Capital Partners   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $2,500 7/26/2012
O'Connor Capital Partners   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Parsons   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Parsons   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Patricia Lynch Association, Inc.   Legislative Law 1-A §1-e(a)(4) Failure to File   2009 Settled $500 12/10/2009
Paul Wolfe Workers Compensation Board Public Officers Law §73(8)(a) Post Employment   2009 Settled $3,000 4/29/2009
Peter Kiernan Executive Chamber Public Officers Law §73(8)(a)(iv) Post Employment     Settled $3,500 12/17/2012
Peter Savio Energy Research & Development Authority Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 3/4/2015
Phoenixone Communications   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1,200 4/8/2010
Phusion Projects, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $1,000 12/21/2012
Pirro-Buley & Associates on behalf of Forrest City Ratner Companies   Legislative Law 1-A §§1-e, h Failure to File Lobbyist Bi-monthly 2005 Settled $500 10/7/2008
Pledge 2 Protect, Inc.   Legislative Law 1-A §1-j False Filing Client Semi-Annual 2013, 2014 Settled $0 6/29/2017
Port Parties, Ltd.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Port Parties, Ltd.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 10/7/2008
Port Parties, Ltd.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $500 10/7/2008
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 $12,000 5/12/2015
Powers & Co. on behalf of BearingPoint, Inc.   Legislative Law §§1-e(a)(4) and 1-h(b)(5)(i) Failure to File Statement of Registration 2006 Settled $500 4/8/2010
Powers & Co. on behalf of Lincoln Center for the Performing Arts, Inc.   Legislative Law §§1-e and 1-h Failure to File Statement of Registration 2007 Settled $500 4/8/2010
Powers Crane & Co on behalf of Delaware North   Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50,000 10/22/2009
Powers Crane & Co on behalf of Duane Reade   Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50,000 10/22/2009
Powers Crane & Co on behalf of NYS Laborer's PAC   Legislative Law 1-A §1-h False Filing Lobbyist Bi-monthly 2003 Settled $50,000 10/22/2009
Preston Felton Executive Chamber Public Officers Law §74(3)(c)(d) and (h) Confidential Information, Misuse of Office     Settled $0 11/24/2009
Private Attorney Defense Services, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2,000 5/15/2013
Public Consulting Group   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Settled $500 4/14/2011
Public Consulting Group   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $10,000 2/15/2011
Quadriad Realty Partners   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $2,000 4/8/2010
Quadriad Realty Partners   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Raby Alexander, Group on behalf of Cybersettle   Legislative Law 1-A §1-h Failure to File Lobbyist Bi-monthly 2008 Civil Assessment $3,000 4/28/2009
Ralph Lorigo Political Party Chair Public Officers Law §73-a Failure to File Financial Disclosure Statement 2010 FDS Filed $0 7/13/2013
Redflex Traffic Systems   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1,500 7/3/2012
Richard Baum Executive Chamber Public Officers Law §74(3)(h) Conflict of Interest, misuse of office     Settled $0 7/8/2008
Richard Gerardi NYSERDA Public Officers Law §§ 73(5); 74(2)(3)(d)(f)(h) Gift     Settled $2,460 10/28/2008
Ritchie Tyson Metropolitan Transit Authority, NYC Transit Public Officers Law §§73-a and 74(3)(d) Misuse of Office, Failure to Disclose Financial Disclosure Statement 2012, 2013, 2014 Settled $4,000 10/27/2016
Robert J. Frey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $2,500 6/10/2010
Robert J. Frey SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $300 12/2/2008
Robert Neviaser SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $200 12/29/2014
Robin Korherr Office of Homeland Security Public Officers Law §§74(3)(d), (f), and (h) Misuse of Office     Civil Assessment $4,000 1/11/2012
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 2/8/2008
Ronald Edelstein   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2,000 8/4/2014
Rosalyn Alexander Hunter College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $300 3/4/2015
Rotate Black, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Settled $2,000 9/10/2014
Ryo Cigar Association, LLC   Legislative Law 1-A §1-j Failure to File     Settled $250 12/10/2009
S&L Birchwood, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $1,500 1/31/2012
S. Helen Daniels Empire State Development Corporation Public Officers Law §73(7)(a) Conflict of Interest     Settled $5,000 2/4/2014
Seneca Cayuga Tribe of Oklahoma   Legislative Law 1-A §1-j False Filing Client Semi-Annual 2005 Settled $500 12/2/2008
Sheinkopf Ltd   Legislative Law 1-A§1-c(h), 1-j Failure to File Client Semi-Annual 2007 Settled $7,500 4/8/2010
Sheinkopf Ltd.   Legislative Law §1-e and h Failure to File Statement of Registration 2007 Settled $7,500 8/12/2010
Sherry Herrington Metropolitan Transit Authority Public Officers Law§73(14)(a) Nepotism     Settled $3,500 8/26/2014
Show Media New York, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Sidney Gellineau Metropolitan Transit Authority Public Officers Law §§74(3)(d) Misuse of Office     Settled $3,000 1/19/2017
Small Hotel Owners Association, Inc.   Legislative Law 1-A Failure to File Client Semi-Annual 2010 Settled $1,500 8/28/2012
SRK Consulting Group   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
Star 3005 LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $1,000 6/12/2009
State Advisers, LLC   Legislative Law 1-A §§1-e, 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly   Decision and Civil Assessment $180,000 11/1/2016
Stedroy Fergus Metropolitan Transit Authority Public Officers Law § 73(5)(a) and (14)(a) Gift     Settled $2,500 2/24/2016
Stephen Stoute Harlem Community Development Corp. Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012, 2013 Settled $400 3/4/2015
Steven Blaney Department of Public Service Public Officers Law §74(3)(d) Misuse of Office     Settled $1,500 8/14/2013
Steven Kuhr NYS Division of Homeland Security Public Officers Law 1-A§74(3)(d) Misuse of Office     Settled $4,000 5/21/2015
Steven Willner CUNY Central Office Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2013 Settled $400 3/4/2015
Stuart Chen SUNY Buffalo Notice of Delinquency Failure to File Financial Disclosure Statement 2008 Civil Assessment duplicate 8/12/2010
Stuart Chen SUNY Buffalo Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $5,000 8/12/2010
Synergy Business Management   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
Tadis   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
Tarrytown Music Hall   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 12/20/2011
The Association of PBA's   Legislative Law 1-A§1-m Gift     Settled $250 10/22/2009
The Bodega Association of the United States, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
The Correctional Officers & Police Benevolent Association, Inc.   Legislative Law §1-m Gift     Settled $250 2/22/2010
The Leser Group   Legislative Law 1-A Failure to File Client Semi-Annual 2010, 2011 Settled $2,500 6/26/2012
The Parkside Group, LLC   Legislative Law 1-A§1-e Failure to File Statement of Registration, Registration Amendment 2003 Settled $500 12/2/2008
Theresa Do NYS Mortgage Agency Public Officers Law §§74(3)(d) and (h)) Misuse of Office     Settled $1,500 10/28/2015
Theresa Tiso SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $400 6/10/2010
Theresa Williams Medgar Evers College Public Officers Law §73-a Failure to File Financial Disclosure Statement 2012 Settled $200 12/29/2014
Thomas Hoover Athletic Commission, NYS Public Officers Law §74(3)(d) Misuse of Office     Settled $2,000 11/17/2016
Titan Outdoor, LLC   Legislative Law 1-A Failure to File Client Semi-Annual 2010, 2011 Settled $2,500 6/26/2012
Tracy Kinn Department of Veteran's Affairs Public Officers Law §§ 73(5)(a) and 74(3)(d), (f), and (h) Gift, Misuse of Office     Decision $0 6/8/2017
Uber Technologies, Inc   Legislative Law 1-A §§1-h and 1-j Incomplete filing Lobbyist Bi-monthly, Client Semi-Annual 2015, 2016 Settled $98,000 6/5/2017
Uncle Sam's House, Inc.   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Decision and Order $0 5/28/2013
Uniformed EMS Officers Union, FDNY, Local 3621   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2008 Civil Assessment $3,500 6/12/2009
Uniformed Firefighters Association   Legislative Law 1-A§1-m Gift   2008 Settled $250 10/22/2009
United University Professions   Legislative Law 1-A§1-m Gift   2008 Civil Assessment $0 12/9/2010
Valerie Lancaster Beal CUNY Board of Trustees Public Officers Law §73-a Failure to File Financial Disclosure Statement 2007 Civil Assessment $400 10/22/2009
Walter L. Williams Bronx Children's Psychiatric Center Public Officers Law §73-a Failure to File Financial Disclosure Statement 2006 Civil Assessment $2,600 6/19/2008
Westchester Industrial Development Agency   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 12/2/2008
Western New York Care Coordination Program   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2007 Settled $250 10/7/2008
William C. Lindner Metropolitan Transit Authority Public Officers Law § 74(3)(d) Misuse of Office     Settled $5,000 4/11/2016
William F. Schwarz Department of Health Public Officers Law §73-a Failure to File Financial Disclosure Statement 2011, 2012, 2013 Settled $600 12/29/2014
William Howard State Police Public Officers Law §74(3)(h) Conflict of Interest     Settled $0 6/25/2008
William J. Lennarz SUNY Stonybrook Notice of Delinquency Failure to File Financial Disclosure Statement 2008 Civil Assessment   8/12/2010
William J. Lennarz SUNY Stonybrook Public Officers Law §73-a Failure to File Financial Disclosure Statement 2008 Civil Assessment $400 8/12/2010
William Weaver Department of Corrections and Community Supervision - Auburn Correctional Facility Public Officers Law § 73(14)(a) Nepotism     Settled $1,500 10/27/2016
Wolf Block Public Strategies on behalf of Food Allergy Initiative   Legislative Law §§1-e and 1-h Failure to File Statement of Registration, Lobbyist Bi-monthly 2007 Settled $500 4/8/2010
Working Families Organization   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2006 Settled $250 10/7/2008
YL Management, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2010 Decision $0 11/25/2014
YL Management, LLC   Legislative Law 1-A §1-j Failure to File Client Semi-Annual 2009 Civil Assessment $600 1/31/2012