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.

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

David Richard Eldredge (Principal)
AWC/2007011355401

First Financial Equity Corporation and George Edward Fischer (Principal)
OS/2006004707201

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

Martinez-Ayme Securities and Alfredo Francisco Ayme (Principal)
AWC/2009016159201

Mesirow Financial, Inc.
AWC/2008012747801

Michael Allen Harbison
AWC/2008015761301

Michael Andrew Betten
AWC/2008013430901

Michael M. Reilly (Principal)
AWC/2007007358603

Michelle Ruth Damon
AWC/2007010593201

Morgan Stanley & Co. Incorporated
AWC/2007011134001

Patrick Francis Harte Jr. (Principal)
2006003672401

Patrick James Illies
AWC/2009017123401

Perrin, Holden and Davenport Capital Corporation, dba PHD Capital
AWC/2007008158601

Peter Christian Dunne
OS/2007011937002

Peter Herbert Hackstedde and Ross William Sindelar
OS/2006004707201

Sherolyn Rae Leeper
AWC/2009016624501

Sicor Securities, Inc. and Gregory Lunar Merrick (Principal)
AWC/2007009773001

Stephen Paul Leary
AWC/2008011999901

Steven John Simone (Principal)
AWC/2008015766201

Susan Jayne Nelson
AWC/2008014015401

Timothy Paul Hackett
AWC/2008013227301

Timothy Terrence Freeman
AWC/2008014928501

TransAmSecurities, Inc.
AWC/2008011723701

ViewTrade Securities, Inc.
AWC/2008011725001

Vincent John Miller
AWC/2008012562901

Wanda Pittman Sears
C0720050042

Alan Frank Pacella
AWC/2007009934702

Broad Street Securities, Inc.
AWC/2006006615402

David Michael Isabella
OS/2006005132303

Donald Louis Andersen
AWC/2007010593701

Fortune Financial Services, Inc. and Brian Lee Daniels (Principal)
AWC/2008011697201

Gary Steven Swiman
OS/2008012094801

Investment Professionals, Inc.
OS/2007008650302

Jeffrey Robert Unruh
AWC/2008014322401

Jennifer Anne Jordan
2005001919501

Jesse John Hinkley
2007007358602

John Carson Brake Sr.
AWC/2009017202601

Kelvin Koma
OS/2008015985501

Kimberly Sue Rutherford
AWC/2008012477401

Legend Merchant Group, Inc
AWC/2007008692901

Lisa Ann Tomiko Nouchi and Marc Winters
E102004083705/E102004083704

Lorraine Leonie Macko
2007009415301

Louis Tomasello III
OS/2006004832901

Michael Lon Vines
2006005565401

Oswald Victor Paredes
AWC/2009018461601

Paramount BioCapital, Inc.
AWC/2007011942201

Robert Wesley Stout
OS/E062005003202

Rodney Lee Cantrell
AWC/2007009405901

Ronald Edward Hardy Jr.
2005001502703

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

Wadsworth Investment Co., Inc. and William Frederick Wadsworth (Principal)
OS/2006003806202

William Alson Johnson
AWC/2007010251302

William Ambos Gill
AWC/2009016629001

Alan Howard Gold
AWC/2007010611801

Anthony Basir Shakoor
AWC/2007009449201

Bear Stearns & Co., Inc., nka J.P. Morgan Securities, Inc.
AWC/2007011145701

Bear Stearns & Co., Inc., nka J.P. Morgan Securities, Inc. and Renee Michelle Fourcade
AWC/2006006804401

CP Capital Securities, Inc.
AWC/2007007145101

CP Capital Securities, Inc.
AWC/2007007145101

Dan Alexander Derby and Jeffry Alan Mullins
AWC/2007010829801/20

Dana Reece Anderson
AWC/2008015512201

Don Edward Terry
AWC/2008013365901

HP Securities, Inc.
AWC/2008011569801

James Sylvester Currier (Principal)
AWC/2006006406003

Jason Read Richmond (Principal)
AWC/2008013593201

Jerry Wayne LeBlanc Jr.
OS/2007010382601

John Christopher Nori (Supervisor)
AWC/2008012093801

Jung Han Kim aka Jay Kim
2007011178001

Katherine Eileen Weems
AWC/2007010251301

Kenneth Mark Carpenter
AWC/2008015174101

Kerry Dexter Barris
AWC/2008014435701

Kevin Michael Browne (Principal)
OS/2007011348301

Linda Jo Bartley and William Arthur Donaldson
AWC/2005003504002/#2

Michael Keith Paul
AWC/2007010688901

Miguel Alberto Chavez
2007009200801

NAME REDACTED BY RRBDLAW.com Principal)
AWC/2008011629601

Neal Anthony Impellizeri (Principal)
2005000127502

Pali Capital, Inc.
AWC/2006004122301

Raymond Paul Gerrior Jr.
AWC/2008013988901

Ronald Eugene Holtrey (Principal)
AWC/2008013818402

Sarah Rachel Goldrich
AWC/2008015963001

Sergio M. Del Toro (Principal)
AWC/2007007777501

Stephen Scott Lee
AWC/2008014827301

Suzanne Kay Courter-Jann (Principal)
OS/2007011550101

Synergy Investment Group LLC
AWC/2007007139501

Valerie Elaine King (Principal)
2007010236401

William Walter Spencer Sr.
AWC/2008013442501

Carol Anne Heynen
AWC/2006005116301

Carr Securities Corporation
AWC/2007007357501

Daniel Allen Abbott
AWC/2007010239501

Derek Roy Kent
AWC/2007008911201

Dermot A. Graham
AWC/2008012128701

Jacob Karamian
AWC/2007010029301

Jamik Jamar Ligon (Principal) and Rocco Anthony Mongelli
AWC/2008013653901

Jereis Elias Khawaja
2007007682501

Johnny Amartey Nuno-Amarteifio (Representative)
OS/2007011867401

Kareem Isadore Washington
AWC/2008012952201

Kevin Michael Ahlert
AWC/2007011337801

Michael Timothy Williams
AWC/2007011013801

Name Redacted
AWC/2007009784401

Paul Scott Collier (Principal)
AWC/2007009903401

Piyush Manubhai Patel
AWC/2009017804601

Preston Douglas Runyan
OS/2007007727601

RBC Capital Markets Corporation
OS/2005002206701

Robert Bassari (Principal)
AWC/2008013061401

Ronald Peter Russo Jr. (Principal)
AWC/2005000666701

Stephen John Woods
AWC/2008015754101

Stephen Timothy Crawford
OS/2008013892301

Victoria Ann Toth
2008012343001

William David Brusseau
AWC/2008015672601

Andres Luis Delmas (Principal)
AWC/2007010582701

David Travis Weitz
AWC/2007011496201

Dinosaur Securities, L.L.C.
AWC/2007009268201

Donna Rae Jordan
AWC/2007009371801

Gail Sylvenia Frick
AWC/2008013428001

Herbert Tyrone Hunt (Supervisor)
OS/2007011831101

Hugh Anthony Wilson
OS/2007010192301

James Christopher Dinwoodie
AWC/2008014001701

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

Jeffrey Douglas Stadelmann
AWC/2008012970401

John Kenneth Scheidler
AWC/2007011364701

Joseph Donald Davis III (Supervisor)
AWC/2006007023201

Joseph Kesl Aylward
AWC/2008014567901

Karen Lee Fairbend (Principal)
AWC/2008016096201

Kevin Mark Pilipczak
AWC/2008012873901

Lena Michelle Altman
AWC/2008015076001

Louis Gerald Mohlman Jr.
AWC/2008015068801

NSM Securities, Inc.
AWC/2008011708101

Okoboji Financial Services, Inc.
AWC/2005003504001

REDACTED (Principal)
OS/2007007795401

Ryan Muneo Kimura
AWC/2007010889401

Shawn Steven Keller
2008015227201

Stephanie Murch Haggerty
AWC/2007011496202

Steve A. Brubaker
AWC/2008014572501

Steven Laurence Dorsey (Principal)
AWC/2005000346104

Terrence Thomas Alexander
2007011261701

Adam Phillip Gerber
OS/2008014493601

Andrew William Quinn (Supervisor)
2005003295801

Anthony Peter Novella Jr.
AWC/2007009093601

Brad Niel Nussbaum (Principal)
2008012071301

Chicago Investment Group, LLC
AWC/2006006518903

Curtis Morgan Allen
AWC/2007010893901

Deborah Jean Nehmad
OS/2008012884501

Douglas Franklin Conrod II
AWC/2007009440701

Dustin Andrew Boeckel
AWC/#2007010348001

Fabian Cesar Seyller
AWC/2007009359601

Jason Todd Owenson
AWC/2008012257701

John Joseph Mazzella
2007010339901

Joseph Benjamin Gruber (Principal) and Judy Dian Helms
AWC/2008013168002

Joseph Stephen Fabian (Principal)
2007008923301

Kathleen Ann Glaser
AWC/2008012940101

Leonard Duane Sellers (Principal)
AWC/2007009024401

Louis Andrew Cyr
AWC/2008013326901

Paul Anthony Verostko
AWC/2008012540801

Richard Wayne Hill
AWC/2008013715501

Robert Michael Bonner
AWC/2007011402701

Sarah Rebecca Boardman
2007010778801

Strasbourger, Pearson, Tulcin,Wolff, Inc. and Michael J. Schumacher (Principal)
AWC/2007009468801

Adrienne Renee Wilkerson
OS/2007010655801

Andrew Seafus Prophet (Principal)
AWC/2008012620201

Benedict Patrick Tommasino (Supervisor)
AWC/2007011878502

Bennett Ross, Inc.
AWC/2008011571101

Bruce Robert Byers
AWC/2007009430501

David Christian Haas (Principal)
2007009422501

Debra Ann Friend (Principal)
AWC/2006007045701

Douglas John Toth
2332079

Duane Franklin Anderson (Principal)
AWC/2007007991302

Eric Scott Skigen (Supervisor)
OS/2007008549101

Frances Ann Reams (Principal)
AWC/#2008014738301

Frank Louis Boccio (Principal)
AWC/2008011701201

Galen Mark Shoff
AWC/2008015323501

Joe Farnham Moore Jr. (Principal)
AWC/2007008264101

John Michael Holder
AWC/2008012531701

Ladenburg Thalmann & Co., Inc.
AWC/2007009479501

Maria Anne Harding
AWC/2008014230201

Mark David Webb (Principal)
OS/2007009408801

Marquis Financial Services, Inc.
AWC/2006005770701

Michael Francis Domson
AWC/2007010681101

Neal Seth Smalbach (Principal)
AWC/2008013868801

Paulson Investment Company, Inc., and Trent Donald Davis (Principal)
AWC/2007007406901

Randy Brian Weaver and Richard Lance Will
AWC/2007008587501 &

Ray Matthew Londo (Principal)
AWC/2008012953501

Richard George Dion
AWC/2007009531501

Richard M. Berteletti Jr.
2007011310001

Robert Eugene Strong (Principal)
C0420050005

Sean Aaron Austin
AWC/2007008549901

Steven Effron
AWC/2007009353701

Stuart Ian Kirschenbaum
OS/2007010236601

Thomas William Laundrie
AWC/2006006784202

Trade Station Securities, Inc.
AWC/2007009466601

Windham Securities, Inc. and Joshua Constantin (Principal)
AWC/2009016318001

Alexis Lesko
AWC/2008013983601

Bennett Joseph Lacour III
2007011010401

Carol Ann Geske (Principal)
AWC/2008012224701

Charles James Moni
AWC/2006005007601

Christopher John Brunert
2008012476701

Chuck Richard Hayworth
AWC/2007010709901

CMG Institutional Trading, LLC and Shawn Derrick Baldwin (Principal)
E8A2005025201

David Garcia
AWC/2007010314101

Derek Jon Kuklenski
AWC/2008014018101

Frederick Lee Mathis
2007011906401

James Russell McCarthy Jr. (Principal)
AWC/2006003916902

Jason Adam Craig
E8A2004095901

Jill A. Kleinerman
AWC/2007008322701

Joe Russell Bancroft
AWC/2008015912901

John Patrick Walsh (Principal)
AWC/2008012561701

Joseph Aloyisius Pramer III
AWC/2007009372601

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

Raymond Lee Noragon (Principal)
OS/2007007321102

Robert Brian Meadows
AWC/2008013400501

Young Jin Chun
OS/2006005940901

Bill Q. Chen
OS/2007011324501

Chase Investment Services Corp.
AWC/2007009764901

Choice Investments, Inc. and Donald Arthur Itzen (Principal)
AWC/2007007159701

Christian Powers Call
AWC/2007009462301

Dhulsini Hemani De Zoysa
AWC/2007010562701

EuroPacific Capital, Inc.
AWC/2005003364102

Gail Marie Rodriguez
AWC/2008014103401

Hallmark Investments, Inc. and Steven Gary Dash (Principal)
OS/2006003689501

Joseph William Hagan
2006003825001

LF Financial, LLC and Jed Philip Kaplan (Principal)
AWC/2007007150401

Matthew Edward O’Callaghan
AWC/2007009462302

Michael Julius Resnick (Principal)
AWC/2008012530901

National Investor Services Corp.
AWC/2007011877701

Patricia Estela Murray
AWC/2008012850701

Patrick Vern Clarkson
AWC/2007008391201

Robert Kyle Stewart
AWC/2007011438101

Ronald Pellegrino (Principal)
C3B20050012

Rudy Rinehart Mueller
AWC/2008012178401

Schonfeld Securities, LLC
AWC/2005000686501

StockCross Financial Services, Inc.
AWC/2007009467901

William Francis Kelly
2007009131501

Armando Jaramillo Jr.
2007008085801

Clifford Dominick Devastey
2007008640401

David Francis Brochu (Principal) and Jill Schlesinger (Principal)
AWC/2006005242501

Donald Walter Kiley
OS/2005003312401

Eric Steven Goldberg (Principal)
AWC/2008011736101

Gerald Lee Thomason
AWC/2007009936601

Hedge Fund Capital Partners, LLC and Howard Gordon Jahre (Principal)
OS/2007008358101

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

Michael Francis Smith (Principal)
AWC/2006005977002

North American Clearing, Inc.
OS/E072005017201

Paul Joseph Benz
AWC/2006006518901

Richard Allen McGarrah (Registered Supervisor)
2007009387601

Robert Anthony Bellia Jr. (Principal)
OS/2005001502703

Rodney Scott Garretson (Registered Supervisor)
AWC/2008012095301

Ronald Harris Sirota (Principal)
AWC/2007009050501

Timothy Tilton Ayre (Principal)
AWC/2007007205501

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

Fifth Third Securities, Inc. and Cynthia Lynn Davenport (Principal)
AWC/2007007333001

First NewYork Securities, L.L.C.; Larry Chachkes; and Joseph Eric Edelman
AWC/2005000796001

Fred Luther May III (Principal)
AWC/2007010954301

G.C. Andersen Partners Capital, LLC and Bruce Neal Orr (Principal)
AWC/2007007256801

Gabriela Frances Burse
2007009262301

James Albert Blue
AWC/2007007722801

James Stanley Gossett
AWC/2007008653501

Jeff Yuejian Pan (Principal)
AWC/2007010636701

Jeffrey David Guckert
2007008174801

John Walter Fisher
AWC/2007009485801

Kern, Suslow Securities, Inc.
AWC/2007007314701

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

Stonehurst Securities, Inc.
AWC/2007007190601

Troy Eric Brown, Larry Michael Cole, and Jeffrey David Swanson
AWC/2006004155203/#2

Ward Byron Anderson
AWC/2008013164901

Yvonne Yuliene Russell
AWC/2007010844301

Alan Lawrence Jacobs (Principal)
AWC/2006004949203

Brian Mark Wacik
2006006537201

Carlton Capital, Inc.
AWC/2006003684702

Dennis Jordan
E072005005701

First Dallas Securities, Inc. and Eric Jay Marshall (Principal)
AWC/2007007161501

Gino Nick Chiappetta (Principal)
AWC/2007009850501

Harvest Capital Investments, LLC and Dennis Cotto
2005001305701

Jeffrey Eugene Tipton
2007008715001

Jeffrey Michael Stebbins
OS/2006004969703

John Gilbert Marshall Jr.
AWC/2006006717101

Laird Quincy Cagan (Principal)
AWC/2007007144401

Lance Jeffrey Ziesemer (Registered Supervisor)
AWC/2007008964901

Madeline Marie Langlois
OS/2007009761301

Richard Francis Kresge (Principal)
CMS20030182

Shane David Mispel
AWC/2007008745801

Stephen Colley Harris
OS/2007010303601