Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
2010
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 2010
Alan D. Schell
2009017694001
Benjamin Burl Abbott III
AWC/2008015676801
Brandon Michael Kappes
AWC/2010022662401
Daniel David Misch
AWC/2009016756101
Daniel Lee Kurtz
AWC/2009020618301
David Gustav Much
AWC/2007008935001
David Michael Pagliarulo
AWC/2009017267701
Dwight John Schaefer
AWC/2008012636401
Frank Marasco
AWC/2005002134102
Gregory Lee Oldham
AWC/2009016709017
Heather D. Pepo
2008014734701
Jamaine Kwesi Aggrey
AWC/2010021167401
Jennifer Veronica Himes
AWC/2008015411501
Junior Kim
AWC/2009017798901
Kelly Lee Flaherty
AWC/2009016709016
Kelvin Shaw (
AWC/2008015411502
Kenn Arden Hugos
AWC/2008016344401
Kenya Reed
AWC/2009017054201
Kyle T. Nolen
AWC/2009020798901
Mark William Beggs
AWC/2009018374401
Premier Group, Inc.
AWC/2008011618101
Raymond Wing Fai Lau
AWC/2009019051901
Robert John Postma
AWC/2009019449201
Robert Lee Yingling
AWC/2009016709014
Rodney Brian Moss
AWC/2009016709015
Ronald Laverne Kersey
AWC/2009016709012
Scarlett Loree Smith
AWC/2010021373001
Shawn Patrick Koerner
AWC/2009019876801
Stephen Nicholas Severio
AWC/2008015083301
Timothy James Carroll
AWC/2009016531801
Tracy Marie Lamoreaux
AWC/2009019285301
Victor W. Chan
AWC/2009021029613
William Hanson Hauser
AWC/2010022661001
November 2010
Antonio Gata Bolinao Sr.
AWC/2009017831001
Conrad Lee Fitzwater
AWC/2009016709009
Corbett Leo Hankins Jr.
OS/2009016709002
Darla Lanette Williams
AWC/2009019338301
Derrick Ray Shields
AWC/2008015144801
Dwayne Howard Kappell
AWC/2009016709005
Eddie Wayne Sawyers
AWC/2008015712501
Ethelbert Pacis Gazmen
AWC/2009018322101
Fredric Henry Gardner
AWC/2009020196301
Gregory Arthur Niebler
OS/2007009405201
Harold Dean Malicoat Jr.
AWC/2007009342201
Jerry Allen Smith
AWC/2009016709006
Junying Bao
AWC/2009020840201
Mandar Vijay Raut
AWC/2009017957801
Maria Alicia Wild
AWC/2010021987401
NAME REDACTED
2009017472801
Patrick Joseph McConnell
AWC/2009020204101
Paul Michael Tavelman
AWC/2008015108101
Ronald Gabriel Klebba
AWC/2008014974201
Ryan Keith Hardy
AWC/2009018334401
Sean Patrick Britton
AWC/2007011830002
Thomas Michael Petracek
AWC/2008015144802
Vincent Fedders
AWC/2009018330701
William Kevin Harrison
AWC/2008015740301
York Securities, Inc.
AWC/2008011762701
October 2010
Cislyn Louise Beckford
AWC/2009020374801
Daniel Hope Hughes
AWC/2008012817301
Darryl Wayne Golter
AWC/2008015003201
David Alan Kossak
AWC/2008014690901
Duane Alan Carr
AWC/2008013303601
Hugh Alexander Ross Sr.
AWC/2008016154401
Jamie Sutton Hardy
AWC/2009018407601
Jerry Isaac Alboher
AWC/2009017838501
Kenneth Brown (Principal)
AWC/2007007151703
Matthew Norman O’Brien
AWC/2009018063001
Nicholas Bryan Hemby
AWC/2010022588301
Renee Lynn Coil
AWC/2008014756401
Richard Totoy
2008015139801
Rodney Louis Bruck
AWC/2009017310501
Steven Michael Mandala
AWC/2010022904801
Thomas R. Gilman
2008013474801
Timothy John Imhof
AWC/2007010580902
September 2010
Amy Lou Marsh
AWC/2009018844901
Andrew Charles Callihan
OS/2007010731201
April N. Berkholder
AWC/2009021029609
Assent LLC
AWC/2007008882402
Clint Harley Keener
AWC/2007009431001
David Charles Miller
AWC/2008013077101
David John DeWald
AWC/2009019041601
Domenic Carlo Ruggiero
AWC/2008015794901
Jason Roberts Coles
AWC/2007010593501
Jonathan Ross Davidson
AWC/2009021029610
Louis John Liberatore Sr.
AWC/2008013937902
Marshell Earl Miller
OS/2007009413701
Martha Joyce Masterson
AWC/2008015381801
Michael Aaron Brady
AWC/2010022037401
Murphy & Durieu
AWC/2008013233001
Patrick Soungook Kim
AWC/2009018171101
Peggy Sue Harrell
OS/2009019962301
Richard Joseph Stratman
AWC/2009019569401
Stephen N. Richards
AWC/2009016955001
Steven Emery Floyd
2009016586601
Steven M. Oates
AWC/2010021601801
Traci Renae Faulks
2008012897501
William Ray Collins Jr
AWC/2008013648001
August 2010
Alan David Marcus
AWC/2007008239002
Bradley Derek Buchanan
OS/2008015279301
Chapin Miller
AWC/2009016664401
Danica Danialah King
AWC/2009017881901
Daniel Lee Widmer
AWC/2009016698302
David Alan Murrell
AWC/2008015274701
Donald Jay Carrig
AWC/2007008239004)
Dustin E. Polage
OS/2008014784001
Erin Alyse Outten
AWC/2009018117901
Heidi Jo Baldridge
AWC/2009021005001
Jarem Barry Bingham
AWC/2009017621401
Jason R. Locke
AWC/2009021029606
Jason Thomas Plunkett
AWC/2009021029605
Kenneth Francis Jewell
AWC/2009017425001
Mark Andrew Jamgochian
AWC/2009018304601
Marshalle Adine Wright
AWC/2009017320301
Mathew Valente
AWC/2009021029604
Portales Partners, LLC
AWC/2009016184701
Rebecca Ann Kortman
AWC/2009016790401
Robert Michael Marcus
AWC/2007008239003
Samuel Kenneth Johnson
AWC/2009017292301
Stephen Alan Jaffe
AWC/2009018230901
Stephen Denton
AWC/2009021029607
Susan Magourik
2008014644201
Thomas George Fullerton (Supervisor)
AWC/2007011920701/2009018009501
July 2010
Allan J. Satterfield
OS/2005001398602
Andres Barcenas Jr.
AWC/2008014940401)
Arthur Albert Halleen
OS/2008014611101
Baron Capital, Inc.
AWC/2009016315201
Blaine Carter Davis
AWC/2009016750801
Cheryl Ann Daniel
AWC/2008013810201
David Laifer
OS/2007010941701
Denver Arlene Kalkofen
OS/2008015168701
Douglas Kyle Haas
2007011016301
E*Trade Clearing LLC
AWC/2007009471101
E*Trade Securities LLC
AWC/2007009471102
Edward William Overdyke
AWC/2008014701201
Harold Lee Glover Jr. (
AWC/2008015254101
Jason K. Bronsky
AWC/2010021551101
Jill Meredith Swisher
AWC/2009021029603
Kenia Bailey
AWC/2008016247401
Kevin John McPhee
AWC/2009016763601
Kristen Kimberly Leu
AWC/2009018495001
Lori Elizabeth Simpson
AWC/2009017046701
Mary Alice Siver-Walters
AWC/2009017915701
Matthew James Ferber Sr.
AWC/2009017295301
Nathan Eugene Calhoun
AWC/2009018652501
Noor Siraj Amirali
AWC/2008014608801
Richard Aaron Paul
AWC/2008013523101
Robert Edward Groux Sr.
AWC/2008012755301
Robert Martin Martinez
AWC/2009018362902
Ryan Nicholas Shubin
AWC/2009016597401
Stephen A. Hancock
AWC/2009020044301
June 2010
Conrad Michael Lawrence
OS/2009019042201
Donald Edwin Derieg
AWC/2007009070901
EDI Financial, Inc.
AWC/2009016266601
Gregory Ray
AWC/2008016200501
James Harold Opheim
AWC/2009018820201
Jennifer Evelyn Cheeseman
AWC/2009017334901
Jerry Perlman
AWC/2008011707002
Joel Barrett
2008014006701
John Roy Boyer
AWC/2008016202501
Joseph Arthur Bailey
AWC/2006004466102
Louis Salerno
2008015360301
Marvin J. Tick
AWC/2008015322101
Michael Patrick Maser
AWC/2009017001301
Ronald Douglas Rogers
AWC/2008014061001
Stephen Paul Krauss
AWC/2009017313901
Tiffany Leigh Zachary
AWC/2008015839101
May 2010
A.B. Watley Direct, Inc.
OS/2005001121401
Alexander Dobric
OS/2009016953101
Alvin Charles Ramsey
AWC/2008015421501
Andrew Mark Ruby
AWC/2009017832001
Ariel Pena
AWC/2009018511001
Daniel Walsh
AWC/2009021029602
Darrell Steven Current
AWC/2008012421501
David Bigelow Crocker
OS/2007011151502
Dedric Hillery Gill III
AWC/2009017234001
Douglas Seth Land
AWC/2008014999101
Harold Sheldon Minsky
AWC/2007010287101
Henry Thomas Goode II
AWC/2008015747801
Jason Allen Groth
AWC/2007007981002
Jerome Joseph Stellick
AWC/2008012196501
Jose Cecilio DeCastro
AWC/2008013962101
Kyle Patrick MacDonald
OS/2009018375901
Mark Francis Harper
2007011333401
Martin David Batstone
AWC/2007007981001
Richard Alan Englander
AWC/2007008882401
Rob William Friemoth Jr.
AWC/2007010328201
Roslyn E. Bixby
AWC/2009016572701
Samuel Madigan Pierce
AWC/2008015405101
Steven Vincent Donato
AWC/2009021029601
April 2010
Benjamin Yost White
AWC/2008016114801
Gregory Gerard Meyer
AWC/2008016397801
Horus River Brown
OS/2008013380501
Joseph Peter Stephens
AWC/2007011815501
Kenneth Ray Prevett Jr.
AWC/2008014399401
Laura Anne Potts
AWC/2009018291401
Leonard Charles Brown
OS/2007009081801
Michael Scott Heslep
AWC/2008011629602
Ramius Securities LLC
AWC/2007010580701
Rodney Jack Bradley
AWC/2009017114101
Roger Odell Hudspeth II
OS/2008012955302
Ryan Matthew Nestor
OS/2008012540201)
Sherman Marc Bloom
AWC/2009018368401
Steven Howard Delott
AWC/2007011393901
William Frederick Nord
AWC/2008012826101
William Paul Pecoriello
AWC/2007011193302
March 2010
A.B.Watley Direct, Inc.
OS/2005003391301
Andrew Kevin O’Fee
OS/2008012052401
Arthur Braden Diggs Jr.
AWC/2008013992501
Casimir Capital, L.P.
AWC/2006006836301
Charles Jesse Duff
AWC/2008011678301
Chi Tu Chow
AWC/2007009453201
E*Trade Securities LLC
AWC/2008011727801
Edgar Davis Mock III
AWC/2009016258201
Gary Ira Purcell
AWC/2009020546301
George Albert Montes
AWC/2005000346105
Jeffrey Alan Gielau
AWC/2009016698301
Jeffrey Allen Davis
OS/2008015704401
Jennifer M. Davis
OS/2007007754801
Jose Ricardo Santillan
AWC/2008016181501
Karen L. Fence
AWC/2008014020401
Kevin Joseph Sylla
AWC/2007010889201
Leonard Kahn
AWC/2008013363601
Linda Marie Allen
AWC/2007010771801
Melissa Dawn Curry
AWC/2009017865401
Melvin Lee Peterson
AWC/2005000346106
Michael D. Rhodes
AWC/2009018521601
Neil Rolla Harrison
AWC/2008015617301
Rani Tarek Jarkas
OS/2005003052001
Steven William Sauer
AWC/2008014156001
Susan Mary Pelloth
AWC/2009017537301
Thomas James Sinclair
AWC/2008016123101
February 2010
Aurora Capital LLC
AWC/2008011646701
Bruce Edward Hammonds
OS/2008013990501
Christopher Michael Minor
AWC/2008012469101
Cristobal L. Garcia
2008016441101
David Steven Forman
OS/2007007989901
Dome Securities Corp.
AWC/2009016131601
Ema Bekirovik
2008013684301
Grant Thomas Weiss
AWC/2008013690301
Hilda Asencio
2008014573101
Hudson Etienne Sr
AWC/2008015957201
James Thomas Farrell III
AWC/2008014827101
Jason David Fox
AWC/2009017154401
Jeannette J. Martens
AWC/2008015946101
John Richard Noble
AWC/2008012721301
Kathryn Lorraine Ellis
AWC/2007007345602
Leslie Klaserner Robey
AWC/2008014692901
Regal Securities, Inc.
AWC/2007007344801
Robin Emily Katz
AWC/2009019057101
Rogelio A. Villa Jr.
AWC/2009019029201
Sally Jean Gray
2008013179601
Sandra Loretta Guay
AWC/2008013937601
Thomas H. Collop Jr.
AWC/2008016441801
Westrock Advisors, Inc.
AWC/2007008162201
William Robert Young
AWC/2008014271201
January 2010
Benjamin Gideon Geller
AWC/2007011920901
Brian Havens
AWC/2008015121101
David Alan Tucker
AWC/2008014583501
David Nelson Cherry
AWC/2009016709003
Jeffrey Paul Dungan
AWC/2008015824001
Jessie Everett Airington
AWC/2008015428301
John Michael Campbell
AWC/2008011565202
Justin C. Sidaway
2008013305801
Kevin Patrick Brennan
AWC/2007007358604
Michael Gerald Delano III
AWC/2008013543001
Michael Lewis Axel
AWC/2007011308801
Ralph Matthew Shino
E3A2005003702
Scott Ryan Tischler
2007008370701
Shaniqua N.White
OS/2008015003001
Shellie Lin Newton
AWC/2008014143701
Stuart David Baron
AWC/2008012408101
Thailia Alisa Tucker
AWC/2007011330602
Timothy E. Nenoff
AWC/2008012437501
Tracy L. Clifford
AWC/2008015218401
Yajaira Santos
AWC/2008015473301
Enforcement Actions
Search in Cases of Note : FINRA
Months
 
Cases of Note : FINRA Archive
Tags
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+