Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
2009
NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.
December 2009
Anthony Brent Faithauer
AWC/2008016455601
Blanka Solta
AWC/2008012493201
Brian John Fest and Traci Ann Thomason
AWC/2005002244303 and 2005002244302
Brian Joseph Hoshowski
AWC/2008012450001
David Michael Scaffe
AWC/2008013809702
Hubert William Pereira
AWC/2008014390201
James Frederick Henjum
AWC/2007009449501
Jason Spencer May
AWC/2008013907501
Judy Jo Patrick
AWC/2008013438901
Lawrence Maxwell McCoy
AWC/2008013278101
Martin Dennis Ross
OS/2007008732902
Mesirow Financial, Inc.
AWC/2008012747801
Michael Allen Harbison
AWC/2008015761301
Michael Andrew Betten
AWC/2008013430901
Michelle Ruth Damon
AWC/2007010593201
Patrick James Illies
AWC/2009017123401
Peter Christian Dunne
OS/2007011937002
Sherolyn Rae Leeper
AWC/2009016624501
Stephen Paul Leary
AWC/2008011999901
Susan Jayne Nelson
AWC/2008014015401
Timothy Paul Hackett
AWC/2008013227301
Timothy Terrence Freeman
AWC/2008014928501
TransAmSecurities, Inc.
AWC/2008011723701
Vincent John Miller
AWC/2008012562901
November 2009
Alan Frank Pacella
AWC/2007009934702
David Michael Isabella
OS/2006005132303
Donald Louis Andersen
AWC/2007010593701
Gary Steven Swiman
OS/2008012094801
Jeffrey Robert Unruh
AWC/2008014322401
Jesse John Hinkley
2007007358602
John Carson Brake Sr.
AWC/2009017202601
Kelvin Koma
OS/2008015985501
Kimberly Sue Rutherford
AWC/2008012477401
Lisa Ann Tomiko Nouchi and Marc Winters
E102004083705/E102004083704
Louis Tomasello III
OS/2006004832901
Michael Lon Vines
2006005565401
Oswald Victor Paredes
AWC/2009018461601
Robert Wesley Stout
OS/E062005003202
Rodney Lee Cantrell
AWC/2007009405901
Ronen Zakai
AWC/2007010628701
Samuel James Mugavero Jr.
AWC/2008014827501
Scott & Stringfellow, LLC
AWC/2006004160701
Scott Allan Shapiro
OS/2007009179401
Stuart Williams Kasin
AWC/2009016832901
Thomas Wayne O’Keefe
AWC/2009017258701
William Alson Johnson
AWC/2007010251302
William Ambos Gill
AWC/2009016629001
October 2009
Alan Howard Gold
AWC/2007010611801
Anthony Basir Shakoor
AWC/2007009449201
Dana Reece Anderson
AWC/2008015512201
Don Edward Terry
AWC/2008013365901
HP Securities, Inc.
AWC/2008011569801
Jerry Wayne LeBlanc Jr.
OS/2007010382601
Katherine Eileen Weems
AWC/2007010251301
Kenneth Mark Carpenter
AWC/2008015174101
Kerry Dexter Barris
AWC/2008014435701
Michael Keith Paul
AWC/2007010688901
Pali Capital, Inc.
AWC/2006004122301
Raymond Paul Gerrior Jr.
AWC/2008013988901
Sarah Rachel Goldrich
AWC/2008015963001
Stephen Scott Lee
AWC/2008014827301
September 2009
Carol Anne Heynen
AWC/2006005116301
Daniel Allen Abbott
AWC/2007010239501
Derek Roy Kent
AWC/2007008911201
Dermot A. Graham
AWC/2008012128701
Jacob Karamian
AWC/2007010029301
Kareem Isadore Washington
AWC/2008012952201
Kevin Michael Ahlert
AWC/2007011337801
Michael Timothy Williams
AWC/2007011013801
Name Redacted
AWC/2007009784401
Piyush Manubhai Patel
AWC/2009017804601
Preston Douglas Runyan
OS/2007007727601
Stephen John Woods
AWC/2008015754101
Stephen Timothy Crawford
OS/2008013892301
Victoria Ann Toth
2008012343001
William David Brusseau
AWC/2008015672601
August 2009
David Travis Weitz
AWC/2007011496201
Donna Rae Jordan
AWC/2007009371801
Gail Sylvenia Frick
AWC/2008013428001
Hugh Anthony Wilson
OS/2007010192301
James Kelly Breeze
AWC/2008012846501
Jamie Patrick Lake
AWC/2009017481401
Jason Erik Stephens
AWC/2007011106201
Jason Jude Daeger
AWC/2008014243001
Jason Lee Dillon
AWC/2008012150001
Jason Thomas Pirnie
2007008830602
John Kenneth Scheidler
AWC/2007011364701
Joseph Kesl Aylward
AWC/2008014567901
Kevin Mark Pilipczak
AWC/2008012873901
Lena Michelle Altman
AWC/2008015076001
Louis Gerald Mohlman Jr.
AWC/2008015068801
NSM Securities, Inc.
AWC/2008011708101
REDACTED (Principal)
OS/2007007795401
Ryan Muneo Kimura
AWC/2007010889401
Shawn Steven Keller
2008015227201
Stephanie Murch Haggerty
AWC/2007011496202
Steve A. Brubaker
AWC/2008014572501
July 2009
Adam Phillip Gerber
OS/2008014493601
Anthony Peter Novella Jr.
AWC/2007009093601
Curtis Morgan Allen
AWC/2007010893901
Deborah Jean Nehmad
OS/2008012884501
Dustin Andrew Boeckel
AWC/#2007010348001
Fabian Cesar Seyller
AWC/2007009359601
Jason Todd Owenson
AWC/2008012257701
Kathleen Ann Glaser
AWC/2008012940101
Louis Andrew Cyr
AWC/2008013326901
Paul Anthony Verostko
AWC/2008012540801
Richard Wayne Hill
AWC/2008013715501
Robert Michael Bonner
AWC/2007011402701
June 2009
Adrienne Renee Wilkerson
OS/2007010655801
Bennett Ross, Inc.
AWC/2008011571101
Bruce Robert Byers
AWC/2007009430501
Galen Mark Shoff
AWC/2008015323501
John Michael Holder
AWC/2008012531701
Maria Anne Harding
AWC/2008014230201
Michael Francis Domson
AWC/2007010681101
Richard George Dion
AWC/2007009531501
Sean Aaron Austin
AWC/2007008549901
Steven Effron
AWC/2007009353701
Stuart Ian Kirschenbaum
OS/2007010236601
Thomas William Laundrie
AWC/2006006784202
May 2009
Alexis Lesko
AWC/2008013983601
Charles James Moni
AWC/2006005007601
Chuck Richard Hayworth
AWC/2007010709901
David Garcia
AWC/2007010314101
Derek Jon Kuklenski
AWC/2008014018101
Jason Adam Craig
E8A2004095901
Jill A. Kleinerman
AWC/2007008322701
Joe Russell Bancroft
AWC/2008015912901
Mary Mae Bickford
AWC/2007011102901
Matthew T. McKinney
OS/2007008624001
Michael Ross Berkoff
AWC/2007011925501
Monty Chad Patton
AWC/2007010821101
Nathan James Lorne
2006005523401
Patrick James Jensen
AWC/2007009082701
Peggy Lyn Fry
AWC/2008012267901
Robert Brian Meadows
AWC/2008013400501
Young Jin Chun
OS/2006005940901
April 2009
Bill Q. Chen
OS/2007011324501
Christian Powers Call
AWC/2007009462301
Dhulsini Hemani De Zoysa
AWC/2007010562701
EuroPacific Capital, Inc.
AWC/2005003364102
Gail Marie Rodriguez
AWC/2008014103401
Patricia Estela Murray
AWC/2008012850701
Patrick Vern Clarkson
AWC/2007008391201
Robert Kyle Stewart
AWC/2007011438101
Rudy Rinehart Mueller
AWC/2008012178401
Schonfeld Securities, LLC
AWC/2005000686501
March 2009
Donald Walter Kiley
OS/2005003312401
Gerald Lee Thomason
AWC/2007009936601
Hudson Securities, Inc.
AWC/2007008732901
Keith Lowell Epstein
AWC/2007008827601
Kimberly Ann Stain
AWC/2008012206001
L. Vincent Markovich
AWC/2007010816401
Legent Clearing LLC
AWC/2007007133001
Maria Antonia Burgos
AWC/2007011240501
Paul Joseph Benz
AWC/2006006518901
February 2009
Amalia Lillian Helton
AWC/2007011017001
AXA Advisors, LLC
AWC/EAF0401030001
Brian Robert Nord
AWC/2007007609901
Ching Yang Aul
2007009347901
Clifford Michael Jensen
AWC/2007008490101
Dale Robert Aldieri
AWC/2006003806201
Daniel Joseph Roberts
AWC/2007008016201
Danny Lynn Kimbrough
AWC/2007011202001
David A. Noyes & Company
AWC/2005000219101/Fe
Dennis Dean Dorn
AWC/2007011414701
Diane Jo Savage
AWC/2007011172601
James Albert Blue
AWC/2007007722801
James Stanley Gossett
AWC/2007008653501
John Walter Fisher
AWC/2007009485801
Meyers Associates, L.P.
AWC/2007007254002
Michael Alvin Callaway
AWC/2006004155204
Michael Slusher
OS/2007009836601
Nexcore Capital, Inc.
AWC/2007007379601
Randle Wayne Farrar Jr.
AWC/2008014199301
Ward Byron Anderson
AWC/2008013164901
Yvonne Yuliene Russell
AWC/2007010844301
January 2009
Brian Mark Wacik
2006006537201
Carlton Capital, Inc.
AWC/2006003684702
Dennis Jordan
E072005005701
Jeffrey Michael Stebbins
OS/2006004969703
John Gilbert Marshall Jr.
AWC/2006006717101
Madeline Marie Langlois
OS/2007009761301
Shane David Mispel
AWC/2007008745801
Stephen Colley Harris
OS/2007010303601
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