RRBDLAW.com

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
A&F Financial Securities, Inc.
AWC/2008011649201
Activa Capital Markets, Inc.
AWC/2009015972001
Alan D. Schell
2009017694001
Benjamin Burl Abbott III
AWC/2008015676801
Bernard Robert Markowitz (Principal)
AWC/2009021131201
Brandon Michael Kappes
AWC/2010022662401
Cory Todd Schmelzer (Principal)
AWC/2007008935002
Daniel David Misch
AWC/2009016756101
Daniel Lee Kurtz
AWC/2009020618301
Dante Thomas Garcia DeMiro
AWC/2008012498701
David Gustav Much
AWC/2007008935001
David Michael Pagliarulo
AWC/2009017267701
Donnelly Penman & Partners and Charles Kirk Haggarty (Principal)
AWC/2009016347901
Dwight John Schaefer
AWC/2008012636401
Fox Financial Management Corporation and James Edward Rooney Jr. (Principal)
OS/2008011592201
Frank Marasco
AWC/2005002134102
Global Strategic Investments, LLC and Cesar Gabriel Hernandez (Principal)
AWC/2009016158801
Gregory Lee Oldham
AWC/2009016709017
Heather D. Pepo
2008014734701
Jack Clark Smith Jr.(Principal)
AWC/2007011125102
Jamaine Kwesi Aggrey
AWC/2010021167401
Jennifer Veronica Himes
AWC/2008015411501
Julio Enrique Serrano
2009017710701
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
Li Kopp (Principal) aka Sabrina Kopp, Li Guo, and Sabrina Guo
AWC/2008015308001
Mark Edward Diemer (Principal)
AWC/2009016254302
Mark Wayne Mills (Principal)
AWC/2008015357301
Mark William Beggs
AWC/2009018374401
Merrill Lynch, Pierce, Fenner & Smith Incorporated
AWC/2008015403102
Morris Noriaki Kunita (Principal)
AWC/2009019051902
Premier Group, Inc.
AWC/2008011618101
Randall Allen Gissendaner
AWC/2009016709013
Randall Walter Hess (Principal)
AWC/2007008310201
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
Scott Douglas Pionk (Principal)
AWC/2009018512901
Shawn Patrick Koerner
AWC/2009019876801
Stanley Mark Kobin (Principal)
OS/2008011678304
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
Aura Financial Services, Inc. and Timothy Michael Gautney (Principal)
OS/2008011565203
Biremis, Corp and Peter Beck (Principal)
AWC/2008014753602
Clinton James Lewis (Principal)
AWC/2009016863001
Conrad Lee Fitzwater
AWC/2009016709009
Corbett Leo Hankins Jr.
OS/2009016709002
Darla Lanette Williams
AWC/2009019338301
Dennis Lee Keating II (Principal)
AWC/2007011125101
Derrick Ray Shields
AWC/2008015144801
Dwayne Howard Kappell
AWC/2009016709005
Eddie Wayne Sawyers
AWC/2008015712501
Edward Francis Stetz Jr. (Principal)
AWC/2009018333301
Ethelbert Pacis Gazmen
AWC/2009018322101
Fredric Henry Gardner
AWC/2009020196301
Gary Michael Laskowski
2006003916901
Geraldine Ann Wert (Principal)
OS/2008015086401
Gregory Arthur Niebler
OS/2007009405201
Harold Dean Malicoat Jr.
AWC/2007009342201
Jerry Allen Smith
AWC/2009016709006
John Christopher Romanoff
2008014858101
Junying Bao
AWC/2009020840201
Kevin Lawrence Cohen (Principal), Dennis Stanley Kaminski (Principal), Gari Craig Sanfilippo (Principal)
EAF0400630001
Mandar Vijay Raut
AWC/2009017957801
Maria Alicia Wild
AWC/2010021987401
Mark Boyar & Company, Inc.
AWC/2008011794901
Moustafa Mahmoud Zayed (Principal)
2006003834901
NAME REDACTED
2009017472801
Patrick Joseph McConnell
AWC/2009020204101
Paul Michael Tavelman
AWC/2008015108101
Philip Rene Deroziere (Principal)
AWC/2009016976701
Roger Howard Garrett (Principal)
AWC/2009016709008
Ronald Arthur Knight (Principal)
AWC/2009016709007
Ronald Gabriel Klebba
AWC/2008014974201
Ryan Beck & Co. nka Stifel Nicolaus & Company, Incorporate
AWC/2008015700901
Ryan Keith Hardy
AWC/2009018334401
Sean Patrick Britton
AWC/2007011830002
Seton Securities Group, Inc.
AWC/2009016215601
Thomas Joseph Brough (Principal), Eric Robinson Elliott (Principal), Brian James Falabella, and Jonathan Jay Sheinkop
OS/2007011348301
Thomas Michael Petracek
AWC/2008015144802
Vincent Fedders
AWC/2009018330701
William Kevin Harrison
AWC/2008015740301
York Securities, Inc.
AWC/2008011762701
October 2010
Alan Ray Tatgenhorst
2008014828301
Artha Lee Brooks (Principal)
AWC/2008015413103
Charles Patrick DiDomenico
AWC/2009021029612
Cislyn Louise Beckford
AWC/2009020374801
Commonwealth Church Finance, Inc. dba Charter Financial Services
AWC/2008011619001
Daniel Hope Hughes
AWC/2008012817301
Darryl Wayne Golter
AWC/2008015003201
David Alan Kossak
AWC/2008014690901
Douglas Joe Barker (Supervisor)
2007009520202
Duane Alan Carr
AWC/2008013303601
Farmers Financial Solutions, LLC
AWC/2008015341602
George Stephen Conwill (Principal)
AWC/2005003644601
Guy Steven Amico (Principal)
AWC/2007007151705
Hugh Alexander Ross Sr.
AWC/2008016154401
Intermountain Financial Services, Inc. and Kent Duane Sweat (Principal)
OS/2008011579401
Jamie Sutton Hardy
AWC/2009018407601
Jeffrey David Rosen (Principal)
AWC/2009021029611
Jerry Isaac Alboher
AWC/2009017838501
Kenneth Brown (Principal)
AWC/2007007151703
Kevin Bradley Martin (Principal)
AWC/2008012444203
Lisa Renee Mello (Principal)
AWC/2008012444202
Matthew Norman O’Brien
AWC/2009018063001
Michael Alan Dembin (Principal)
AWC/2009018019301
Michael Wayne Claiborne (Principal)
AWC/2009017323101
Newbridge Securities Corporation
AWC/2007007151704
Nicholas Bryan Hemby
AWC/2010022588301
Nicholas Michael Rubino
2008014873201
NWT Financial Group, LLC, David Eric Niederkrome (Principal), and Stephen Rudolph Rodgers (Principal)
AWC/2009016295901
Renee Lynn Coil
AWC/2008014756401
Richard Albert Bush (Principal)
AWC/2007007151702
Richard Michael Barber (Supervisor)
OS/2008015310801
Richard Totoy
2008015139801
Robin Fran Bush (Principal)
AWC/2007007151701
Rodney Louis Bruck
AWC/2009017310501
Scott Howard Goldstein (Principal)
AWC/2007007151706
Seaboard Securities, Inc., Anthony Joseph DiGiovanni Sr.(Principal), Sonya Terez Still (Principal) and Anthony Joseph DiGiovanni Jr.
OS/2007008724801
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
Cambridge Legacy Securities, L.L.C. Oran Ben Carroll (Principal), and Russell Kent Childs (Principal)
AWC/2007010684401
Christopher Brooks Mintz (Principal)
AWC/2009016922701
Clint Harley Keener
AWC/2007009431001
Coady Diemar Partners, LLC
AWC/2008011683801
Craig Lee Randall (Principal)
OS/2008013152301
David Charles Miller
AWC/2008013077101
David John DeWald
AWC/2009019041601
Domenic Carlo Ruggiero
AWC/2008015794901
Euro Pacific Capital, Inc.
AWC/2008015429401
First London Securities Corporation
AWC/2008011589801
Gregory Earl Hafen (Principal)
AWC/2009016709011
James Michael Rapuano Jr.
AWC/2010021463201
Jason Roberts Coles
AWC/2007010593501
John Allan Jones (Principal)
OS/2005001398602
John Leisen Kreuz (Principal)
AWC/2010021630301
Jonathan Ross Davidson
AWC/2009021029610
Joseph Anthony Devito (Principal)
AWC/2007008882403
KDC Merger Arbitrage Fund, LP
AWC/2007010580901
Louis John Liberatore Sr.
AWC/2008013937902
Marcia Jenay McLemore (Principal)
2008015708701
Marshell Earl Miller
OS/2007009413701
Martha Joyce Masterson
AWC/2008015381801
Michael Aaron Brady
AWC/2010022037401
Michael Alcide Poutre II (Principal)
AWC/2008011759201
Mike Robert Kilpatrick (Principal)
AWC/2007010828201
Murphy & Durieu
AWC/2008013233001
Nathan Joel Brenowitz (Principal)
AWC/2008013450201
Patrick Soungook Kim
AWC/2009018171101
Peggy Sue Harrell
OS/2009019962301
Randall Charles Ciesielski (Principal)
AWC/2009021029608
Richard Joseph Stratman
AWC/2009019569401
Stephen N. Richards
AWC/2009016955001
Steven Craig Vanderhoof (Principal)
AWC/2007011152601
Steven Emery Floyd
2009016586601
Steven M. Oates
AWC/2010021601801
Traci Renae Faulks
2008012897501
William Gregory Slonecker
2007009442501
William Ray Collins Jr
AWC/2008013648001
August 2010
Alan David Marcus
AWC/2007008239002
Bradley Derek Buchanan
OS/2008015279301
Brookville Capital Partners LLC fka New Castle Financial Services LLC
AWC/2008011678303
Chapin Miller
AWC/2009016664401
Charles Wyman Shirey (Principal)
AWC/2008015696301
Citigroup Global Markets Inc
AWC/2009019551901
CMG Institutional Trading, LLC and Shawn Derrick Baldwin (Principal)
2006006890801
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
Edward D. Jones & Co., L.P.
AWC/2007010537701
Erik Carl Peterson (Principal)
AWC/2008014435301
Erin Alyse Outten
AWC/2009018117901
Frank Gerallimo Manziano
OS/2009016956501
George Ernest Reilly (Principal)
2007007329501
Heidi Jo Baldridge
AWC/2009021005001
Jarem Barry Bingham
AWC/2009017621401
Jason R. Locke
AWC/2009021029606
Jason Thomas Plunkett
AWC/2009021029605
John William Pena (Principal)
OS/2007010533701
Joshua T. Thatcher (Principal)
AWC/2009018404901
Kenneth Francis Jewell
AWC/2009017425001
Leo Timothy Buggy (Principal)
OS/2008016455801
Marissa Miranda McDermott (Supervisor)
AWC/2009017349601
Mark Andrew Jamgochian
AWC/2009018304601
Marshalle Adine Wright
AWC/2009017320301
Mathew Valente
AWC/2009021029604
Michael Frederick Siegel
C05020055
Michael Wayne Beardsley (Principal)
AWC/2009017653801
Portales Partners, LLC
AWC/2009016184701
Quinton Jeffries-Hernandez
2008015002801
Raymond James Financial Services, Inc.
AWC/2007010730701)
Rebecca Ann Kortman
AWC/2009016790401
Richard Michael Bowers (Principal)
2006003916901
Robert Michael Marcus
AWC/2007008239003
Robert Norman Gest Jr. (Supervisor)
OS/2007011348301
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
Charles Edward O’Hara IV (Principal)
AWC/2010021348701
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
Eric Spencer Cott (Supervisor)
AWC/2009021029701
Greg Scott Schaefer (Principal)
2008012034701
Harold Lee Glover Jr. (
AWC/2008015254101
Investscape, Inc. and Richard Michael Lim (Principal)
AWC/2008011737101
James Michael Porrazzo
2007009436401
Jason K. Bronsky
AWC/2010021551101
Jill Meredith Swisher
AWC/2009021029603
John Paul Coen (Principal)
AWC/2008016448101
Kenia Bailey
AWC/2008016247401
Kevin John McPhee
AWC/2009016763601
Kristen Kimberly Leu
AWC/2009018495001
Lori Elizabeth Simpson
AWC/2009017046701
Luis Arguelles (Principal)
2009016608201
Mark Steven Gardner (Principal)
AWC/2008015914301
Marsco Investment Corporation and Mark E. Kadison (Principal)
AWC2009016078101
Mary Alice Siver-Walters
AWC/2009017915701
Matthew James Ferber Sr.
AWC/2009017295301
Nathan Eugene Calhoun
AWC/2009018652501
Nerissa Threatt (nka Nerissa Berry)
AWC/2009017840601
Noble Bradford Trenham (Principal)
2007007377801
Noor Siraj Amirali
AWC/2008014608801
Richard Aaron Paul
AWC/2008013523101
Richard Elmer Gilbert (Principal)
AWC/2008014574101
Robert Edward Groux Sr.
AWC/2008012755301
Robert Martin Martinez
AWC/2009018362902
Ryan Nicholas Shubin
AWC/2009016597401
Stephen A. Hancock
AWC/2009020044301
William Blaze Krusheski (Principal)
AWC/2008011640601
June 2010
Brookstone Securities, Inc.
AWC/2008011675701
Bryan David Budvitis
2008016013501
Colleen Marie McMahon-Hill
2008016040401
Conrad Michael Lawrence
OS/2009019042201
Donald Edwin Derieg
AWC/2007009070901
EDI Financial, Inc.
AWC/2009016266601
EKN Financial Services Inc.
2005002259501
Garden State Securities, Inc.
AWC/2008011696501
Gregory Ray
AWC/2008016200501
James Harold Opheim
AWC/2009018820201
Jennifer Evelyn Cheeseman
AWC/2009017334901
Jerry Perlman
AWC/2008011707002
Joel Barrett
2008014006701
John Andrew Polychronis
2009018386601
John Roy Boyer
AWC/2008016202501
Joseph Arthur Bailey
AWC/2006004466102
Juan Carlos Montanez-Gonzalez
AWC/2008016449501
Kevin Michael John O’Connor (Principal)
AWC/2007011308803
Louis Salerno
2008015360301
Mark McEwen (Principal)
2008014940601
Marvin J. Tick
AWC/2008015322101
Michael Patrick Maser
AWC/2009017001301
Michael Phillip Dunham (Principal)
AWC/2008016130001
Paul Arnold Nilssen (Principal)
AWC/2007011308802
PlanMember Securities Corporation
AWC/2009016589701
Ralph Charles Johnson (Principal)
AWC/2008013469901
Robert Franklin Hockensmith Jr.
OS/2008013190801
Ronald Douglas Rogers
AWC/2008014061001
Scott Anthony Harwell (Supervisor)
AWC/2008014617801
Shawn Patrick Casuccio
2008015240601
Stephen Paul Krauss
AWC/2009017313901
Tiffany Leigh Zachary
AWC/2008015839101
Victor Manuel Olivo Jr.
2009017290101
Wall Street Money Center Corp.
AWC/2008011725601
Walter Allen Ellis (Principal)
2007007873101
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
Christopher William Shanahan
AWC/2008014404801
Daniel Glenn Carlen (Principal)
AWC/2009016529101
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
M. B. Schreiber (Principal)
AWC/2007010982301
Maria-Ysabelle Marinas Tiongson
AWC/2009018202201
Mark Francis Harper
2007011333401
Martin David Batstone
AWC/2007007981001
Michael John Rukujzo (Principal)
AWC/2007009609202
Mission Securities Corporation and Craig Michael Biddick (Principal)
2006003738501
NAME DELETED PER BROKEANDBROKER.COM
AWC/2009020780101
Natasha Michelle Kuykendall
AWC/2008013065301
Register Financial Associates, Inc.and George Robert Register (Principal)
OS/2007011496203
Richard Alan Englander
AWC/2007008882401
Richard Albert Seefried (Principal)
OS/2007008443101
Rob William Friemoth Jr.
AWC/2007010328201
Roslyn E. Bixby
AWC/2009016572701
Samuel Madigan Pierce
AWC/2008015405101
Steven Vincent Donato
AWC/2009021029601
William Edward Herlihy (Principal)
AWC/2008013490901
William Frederick Brahe Jr.
2008014231001
April 2010
Benjamin Yost White
AWC/2008016114801
Bentley-Lawrence Securities, Inc. and Richard Lawrence Coskey (Principal)
OS/2007011333401
Daryl Gene Bank (Principal) and Gregory Dean Bodoh
OS/2008012955301)
David Warren Polifroni Sr.
AWC/2006007102501
Denis William Kraemer Jr.
2006006192901
Douglas Richard Smith (Principal)
OS/2008012211601
Gregory Gerard Meyer
AWC/2008016397801
Healthcare Community Securities Corporation
AWC/2008011702001
Heriberto Americo Artiga Sr.
AWC/2009017673201
Horus River Brown
OS/2008013380501
Jennifer Birrell Young
2008012237901
Joseph Peter Stephens
AWC/2007011815501
Kenneth Ray Prevett Jr.
AWC/2008014399401
Kirlin Securities, Inc., Andrew Joseph Israel (Principal) and Anthony Joseph Kirincic (Principal)
EAF0400300001
Laura Anne Potts
AWC/2009018291401
Leonard Charles Brown
OS/2007009081801
Merrill Lynch, Pierce, Fenner & Smith Incorporated
AWC/2008012391401
Michael Scott Heslep
AWC/2008011629602
Ramius Securities LLC
AWC/2007010580701
Robert Paul Aamodt (Principal)
AWC/2009016700301
Rodney Jack Bradley
AWC/2009017114101
Roger Odell Hudspeth II
OS/2008012955302
Ryan Matthew Nestor
OS/2008012540201)
Sherman Marc Bloom
AWC/2009018368401
Stephen George Condos and Chuck A. Roberts
AWC/2007010398801
Steven Howard Delott
AWC/2007011393901
Valores Finamex International, Inc. and Vincent Anthony Buchanan (Principal)
AWC/2009016196001
Victor Craig Campbell (Principal)
AWC/2009019015201
William Frederick Nord
AWC/2008012826101
William Paul Pecoriello
AWC/2007011193302
William Robert Colston (Principal)
AWC/2008012057401
March 2010
A.B.Watley Direct, Inc.
OS/2005003391301
Andrew Kevin O’Fee
OS/2008012052401
Arthur Braden Diggs Jr.
AWC/2008013992501
Brockington Securities, Inc.
AWC/2008011660901
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
Fifth Third Securities, Inc.
AWC/2008011703401
Foreside Distribution Services, L.P.
AWC/2008011737901
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
John Brian Busacca III
E072005017201
Jose Ricardo Santillan
AWC/2008016181501
Karen L. Fence
AWC/2008014020401
Kevin Joseph Sylla
AWC/2007010889201
Leonard Kahn
AWC/2008013363601
Linda Marie Allen
AWC/2007010771801
Manuel Peter Asensio
CAF20030067
Melissa Dawn Curry
AWC/2009017865401
Melvin Lee Peterson
AWC/2005000346106
Michael D. Rhodes
AWC/2009018521601
Neil Rolla Harrison
AWC/2008015617301
Nomura Securities International, Inc.
AWC/2007011877901
Rani Tarek Jarkas
OS/2005003052001
Raymond James & Associates, Inc.
AWC/2008015756901
Stephen Alan Hackett
2008013690201
Steven William Sauer
AWC/2008014156001
Susan Mary Pelloth
AWC/2009017537301
Thomas James Sinclair
AWC/2008016123101
February 2010
Alvarez & Marsal Securities, LLC
AWC/2008011639901
Aurora Capital LLC
AWC/2008011646701
Bradley Adam Sustrin (Supervisor)
AWC/2009016760902
Bruce Edward Hammonds
OS/2008013990501
Christopher Michael Minor
AWC/2008012469101
Cristobal L. Garcia
2008016441101
David Steven Forman
OS/2007007989901
Dennis Ray Thompson Sr. (Principal) and Dennis Ray Thompson Jr.
AWC/2005001398604/ #2005001398603
Dome Securities Corp.
AWC/2009016131601
Ema Bekirovik
2008013684301
Eric Lowell Small (Principal)
AWC/2007007345601
George Ernest Reilly (Principal)
2006006518904
Gina Marie Crawford Sims
2008012948801
Grant Thomas Weiss
AWC/2008013690301
Hilda Asencio
2008014573101
Hudson Etienne Sr
AWC/2008015957201
Investment Distributors, Inc.
AWC/2009016117101
James Jonathon Fraser Buchanan
2008013001701
James Thomas Farrell III
AWC/2008014827101
Jason David Fox
AWC/2009017154401
Jeannette J. Martens
AWC/2008015946101
John Bradley Carter (Principal)
2008012796701
John Richard Noble
AWC/2008012721301
Kathryn Lorraine Ellis
AWC/2007007345602
Leslie Klaserner Robey
AWC/2008014692901
Max Jack Safdie (Principal)
OS/2007009440601
Michael James Jorgensen (Principal)
2008014433601
Michael Thomas DiPuppo (Supervisor) and Robert Michael DiPuppo
AWC/2008013742101
Name Redacted by RRBDLAW
2008012102601
Paul Ernest Yankie (Principal)
AWC/2008012237201
Regal Securities, Inc.
AWC/2007007344801
Richard Louis Galterio (Principal)
AWC/2008011736102
Richard Walter Bohlinger Jr.
AWC/2008014832801
Robin Emily Katz
AWC/2009019057101
Rogelio A. Villa Jr.
AWC/2009019029201
Sally Jean Gray
2008013179601
Sandra Loretta Guay
AWC/2008013937601
Stoever, Glass & Company, Inc. and Michael Francis Carrigg (Principal)
AWC/2007007247301
Thomas H. Collop Jr.
AWC/2008016441801
Westrock Advisors, Inc.
AWC/2007008162201
William Robert Young
AWC/2008014271201
Willis Scudder Georgia III
2008014358201
January 2010
Benjamin Gideon Geller
AWC/2007011920901
Brian Havens
AWC/2008015121101
Carlos Daniel Rivera
2007010600101
Daphne Michelle Easley
2008013474501
David Alan Tucker
AWC/2008014583501
David Nelson Cherry
AWC/2009016709003
J.J.B. Hilliard,W.L. Lyons, LLC
AWC/2007009463801
Jeffrey Paul Dungan
AWC/2008015824001
Jessie Everett Airington
AWC/2008015428301
Jesup & Lamont Securities Corp.
OS/2007007255603
John Michael Campbell
AWC/2008011565202
Justin C. Sidaway
2008013305801
Kevin Patrick Brennan
AWC/2007007358604
Laidlaw & Company (UK) LTD.
AWC/2007007315501
Lawrence Lathan Powell Jr.
AWC/2008012476501
Michael Gerald Delano III
AWC/2008013543001
Michael Lewis Axel
AWC/2007011308801
Ralph Matthew Shino
E3A2005003702
Rene Francisco Palacios
2007011375301
Richard John Iavecchia
2007009425301
Scott Ryan Tischler
2007008370701
Shaniqua N.White
OS/2008015003001
Shellie Lin Newton
AWC/2008014143701
Stuart David Baron
AWC/2008012408101
Thailia Alisa Tucker
AWC/2007011330602
TIAA-CREF Individual & Institutional Services, LLC
AWC/2007011343301
Timothy E. Nenoff
AWC/2008012437501
Tracy L. Clifford
AWC/2008015218401
Yajaira Santos
AWC/2008015473301
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