Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
CASES OF NOTE
2011
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 2011
Alan David Goddard Jr.
AWC/2009016157802
Alan Stuart Pattee
AWC/2010023232101
Alfred Rodriguez
AWC/2010025449301
Amir Aqeel
OS/2008012703401
Brett Michael Plew
AWC/2009018269501
Corinne A. Perrone
AWC/2010024718001
Danny Wayne Thomason
AWC/2010024090501
David Alan Schams
OS/2009018293201
Evan Taber
2010021196801
Howard Sang Lee
AWC/2009019154301
Isaiah Solomon
AWC/2009020265401
James Malcolm Reardon
AWC/2010021058404
Jared Robert Lynch
AWC/2011029347801
Jason Sean Harrison
AWC/2009018648901
John Daniel Abbruzzese
AWC/2010021144501
John Maraldi Grover III
AWC/2010022180101
Raymond Thomas Blunk
OS/2007008935009
Ronak C. Patel
2010024540401
Ronald John Garabed Sr.
AWC/2010024175501
Ronald William Cheney
AWC/2010022535201
Scott Andreu Roges
AWC/2010024280601
Thomas William Scanlon
AWC/2010024313001
v
AWC/2010021236201
November 2011
Cheryl Ann McMahon
AWC/2011027268801
Christopher James Neri
AWC/2009021029624
Corey Vernon Darling
AWC/2009020307101
Edgar Rhodes Hauser Jr
AWC/2010023178101
Eric Adam Axel
OS/2007010889202
Gavin Michael Wilson
AWC/2011027249601
Harmik Sarian
AWC/2010022545001
Jason Pedigo
AWC/2010025512501
Kristen Anne Jacques
AWC/2010024077701
Krittibas Ray
AWC/2010023781701
Nathan Eugene Calhoun
AWC/2011026223401
Nathaniel Aaron Finkin
AWC/2009020132901
Paul Leon White II
OS/2009017798201
Richard Bert Howes
AWC/2011026308301
Steven Lenard Jessup Jr.
AWC/2009021029623
Timothy Clarke Higgins
AWC/2010024338201
Tracey McInchak
AWC/2010022690601
October 2011
Aaron Joseph Coculo
AWC/2011026065501
CBG Financial Group, Inc.
AWC/2010021106701
Christopher P. Smith
AWC/2009019838802
David Do-Yong Lee
AWC/2010023019701
Diana Y. Tao
AWC/2011027996201
Edward Lee Pinney Jr.
AWC/2010024882501
Felipe J. Lorie
2009019867201
Frank Bianculli
AWC/2009016911202
Frank Porporino Jr.
AWC/2010022072601
Gordon Michael Budreau
AWC/2010021222101
Jaime Campos Lopez
AWC/2009018640401
Jo Ann Marie Head
2009017530101
Kellyann Fortney
OS/2009020645901
Lonnie Lee Dusenberry
AWC/2010022516401
Markus Beat Pletscher
AWC/2009019969801
Michelle Yvette Mangum
AWC/2009017685301
Miguel Alex Rosas
AWC/2010024396001
NAME REDACTED
AWC/2010022728801
Ronald Marvin
AWC/2010021174501
Roseann Bunshaft
AWC/2010024803101
Ruben Velez
AWC/2010025242801
Steve R. Caudle
AWC/2010022881701
Vikas Goel
AWC/2009020539701
September 2011
Charles Caputo Jr.
OS/2009016885101
Colleen Anne Averill
AWC/2009018941502
David Matthew Chase
AWC/2010021866301
Devin Raj Anand
2009017302001
H. Beck, Inc.
AWC/2009016150001
James Leo Carroll
AWC/2009016911201
Jason Forsythe Jacobs
AWC/2010022262601
Jeffrey L. Larson
OS/2010021928801
John Rolland Haeffele
AWC/2009019590501
John Thomas Pappas
AWC/2010021962101
Julia Merritt Cameron
AWC/2010023339801
Marilyn Geen Martindell
AWC/2009020518901
Matthew Crump
AWC/2011028107401
Matthew Sunghoon Kim
AWC/2010023500401
Nicholas C. Dito
AWC/2009020432101
OC Securities, Inc.
AWC/2010021779801
Richard Barry Holody
AWC/2010022152201
Richard Harold Byerly
OS/2009017492201
Scott J. Baklenko
AWC/2009019500401
Scott Roy Pierson
AWC/2009020572801
Timothy Charles Cross
AWC/2010021640302
Veritrust Financial, LLC
AWC/2008011640802
August 2011
Chadwick Monti Laskey
AWC/2010023259201
Colby R. Swartz
OS/2008016187201
Dennis Osborn Beadle
AWC/2009021029706
James Spottswood Gibson
AWC/2009019827801
Jared Austin Poe
AWC/2010021867401
John Edward Good Jr.
AWC/2010023094301
John Paul Mondello
AWC/2009019573901
Larry Richard Gregory
AWC/2011026406001
LPL Financial LLC
AWC/2010021545201
Miguel Angel Murillo
OS/2008014728701
NAME REDACTED
OS/2009018050201
Paul Tao Jan
AWC/2010021640701
Priscilla G. Sabado
AWC/2010022394901
Richard A. Garaventa
OS/2009017072301
Robert Laurence Cochran
AWC/2009018883101
Sammie Bernard Taylor
AWC/2009018240401
Scott Thomas Brandt
AWC/2009017603801
Timothy D. Camarillo
OS/2010023612301
July 2011
Andrew Joseph Franz
AWC/2010025073601
Bart Chad Christensen
AWC/2009018990002
Brown Associates, Inc.
AWC/2009016207701
Bryan C. McCabe
AWC/2009021029617
Casey W. Smith
AWC/2009018573101
Catherine Laura Baker
AWC/2009021029618
Dane Raymond Henry
AWC/2009018021801
Dareth Amber Martin
OS/2009019349301
David Allen Naefke
AWC/2009016728501
David Lewis Tieger
AWC/2009018325701
Donna Marie Miller
2010021623401
Grant Williams L.P.
AWC/2009016225201
John Stultz Poland
AWC/2010023613401
Jose Luis Vinas
2009017198901
Kevin Todd Mehlman
AWC/2009018297901
Lien Thi Huynh
AWC/2009018467001
Maritza Del Carmen Cruz
AWC/2009019865801
Matthew John Iskric
AWC/2009017857501
Nicole R. Palumbo
AWC/2010023810201
Salvatore Demeo Jr.
2009018139301
Sammy Gail Page
AWC/2011027424501
Shaun Michael Donahue
AWC/2009021029619
Stephen James Nicklas
AWC/2010025194301
Timothy Martin Foster
AWC/2008015078602
UBS Securities LLC
AWC/2009018057401
Wendy Rice Stern
AWC/2009018870401
June 2011
Abhijit Chakrabortti
AWC/2009017892301
Carla Wendy Cooper
AWC/2010023825201
Cholia Hicks
AWC/2010022212301
Daniel Scott Sheedy
OS/2008015180901
David Alan Kepes
AWC/2009019009101
Edward R. Von Lumm IV
AWC/2010024607801
Francis Paul Anton II
AWC/2009018062601
Freddy A. Medina
2009016551301
Holly Ann Gunnette
OS/2006004943101
John Brady Benson Sr.
AWC/2009019322201
Jon Tadd Roberts
AWC/2009018509601
Matthew Mark Rairigh
AWC/2009018240001
Michael Wayne Evans
OS/2009017222501
Monex Securities, Inc.
AWC/2008014078801
NFP Securities, Inc.
AWC/2007011393902
May 2011
Carl Henry Blanchard
AWC/2010021436501
Cesar Madrigal
2009019322001
Christian Genitrini
AWC/2010022859701
Dale Allen Eppler
AWC/2009018149601
Denise Lynn Gizankis
AWC/2010021840402
Devon Coulin McLean
AWC/2009016806001
Dinesh Devraj Suchak Jr.
AWC/2010021600601
Eric Langholtz
AWC/2009017282801
Irving Louis Adler
AWC/2010021436801
John Godfried Croes Jr.
AWC/2009017291201
Jon David Kurzmann
AWC/2009018783801
Jose Antonio Rivera
AWC/2010022031601
Joshua Daniel Gould
AWC/2010024945501
Lloyd Kramer (Principal)
AWC/2008011707004
Mark Hermann Pollack
AWC/2009019904201
Michael Jon Davies
OS/2009020069601
Michael Steven Jacobson
AWC/2009017282401
Penena Karpel McRoberts
AWC/2009017606101
Reba Rose Cope
2009020243101
Registered Rep
AWC/2010021348101
Scott Jeffrey Adler
AWC/2010021436901
Thomas W. McMahon
AWC/2010024706201
William Thomas Hernandez,
AWC/2010025260501
April 2011
Charles Joseph Fiorucci
AWC/2010022424201)
Christopher Malchin
AWC/2010021389601
Earnest Flowers III
OS/2009016956601
Gifford Keith Jordon
AWC/2010024417101
Hyon Chu Kang
AWC/2010022258701
Jennifer J. Guelinas
AWC/2010025098101
John Milton Rose
AWC/2010022089101
Linda Louise Johnson
AWC/2010021494801
Michael William Keleher
OS/2008013229701
Ray Joseph Starner
AWC/2010022383001
Susan Mae Karn
AWC/2010022067901
March 2011
Christina Marie Neumeyer
AWC/2009018415201
Craig Harold Schwarten
AWC/2008012927502
Craig Michael Bettencourt
AWC/2010023336301
Dane Carl Sternecker
AWC/2009016781201
David Michael Brown
AWC/2009016590801
David Wayne Bombard
AWC/2009019977001
Donna Marlene DiMaggio
AWC/2009018193801
Edward Gerald Spinelli
AWC/2009018288301
Eric Damien Kallies
AWC/2009016654401
First Clearing, LLC
AWC/2008012791101
John Leslie White
AWC/2009016876801
Jordan Anne Arnold
AWC/2009018327001
Kyle Egress
AWC/2009021029705
Lillian S. Scales
AWC/2010023669001
M. Paul De Vietien
2006007544401
Robert John Griffin
AWC/2009020328201
Stuart Phillip Miller
AWC/2009018219101
William Echeverri
AWC/2009016948201
February 2011
Andrew Gregory McGrath
AWC/2009018123301
Andy Young Lee
AWC/2008015985601
Benjamin Harry Cohen
AWC/2009017087301
Bradley John Delp
AWC/2007008935005
Carlos C. Sarmiento Jr.
OS/2009019888601
Carson Jay Woods
AWC/2009021029616
Chapin, Davis
AWC/2010021065701
Clark Alexander Reinhard
AWC/2010021577101
Cynthia Ann Bulinski
AWC/2005002244704
Daniel Michael Doderer
AWC/2009020824101
Gregory James Buchholz
AWC/2010023931401
Jarred A. Milliner
AWC/2010021764801
Jason Leekarl Beckett
AWC/2009016600001
Joshua A. Ellis
AWC/2009016923602
Lochlainn Ohaimhirgin
AWC/2007008935006
Mark Peter Erlich
AWC/2008012634701
Michael Douglas Hanke
AWC/2009016739701
Michael Rozenbaum
AWC/2009016742001
Patrick Cissne
AWC/2009021029615
Randie Jill Sanford
AWC/2007011320901
Richard G. Mailloux Sr.
AWC/2009017337801
Robert A. Hoffmann
2008014739501
Ronald George Spomer II
AWC/2009018497601
Timothy Robert Mays
AWC/2009020791701
UBS Securities LLC
AWC/2010022093601
January 2011
Andrew Thomas Wrigley
AWC/2009021029614
Daniel J. Trolaro
AWC/2010021844401
Edmond Sloan Duvall
AWC/2008015702201
George Abbott Berry
AWC/2009017596901
Glendale Securities, Inc.
AWC/2009019747601/20060075263
Joe Michael Kirk
AWC/2009017797201
John Henry Fernandez
AWC/2009019405801
Kirk Alan Tessendorf
AWC/2009018272001
Leslie David Kruse
AWC/2009020491201
Mahmood Hasan Usmani
AWC/2010022476001
Marilyn Louise Yamanaka
AWC/2009016709018
NAME REDACTED
AWC/2009021029703
Novin Ghaffari Nikou
OS/2008015095101
Robert Charles Pollock
AWC/2009019042301
Stephen Richard Ventura
AWC/2009018522001
Vincent Michael McGuire
OS/2007008239001
Winston John Cutter Jr.
OS/2009017532101
2011
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