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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
Alternative Wealth Strategies, Inc.
AWC/2010021058401
Amir Aqeel
OS/2008012703401
Brett Michael Plew
AWC/2009018269501
Corinne A. Perrone
AWC/2010024718001
Danny Wayne Thomason
AWC/2010024090501
David Alan Schams
OS/2009018293201
Dawson James Securities, Inc, Albert James Poliak (Principal) and Douglas Fulton Kaiser (Principal)
OS/2009016158501
Edgemont Capital Partners, L.P.
AWC/2011025721201
Eric Lawrence Bloom (Principal)
AWC/2009016157801
Evan Taber
2010021196801
Hernan Charry Jr. aka Herman Charry (Principal)
AWC/2010022715607
Howard Sang Lee
AWC/2009019154301
Institutional Capital Management, Inc. and Daniel Lee Ritz Jr.(Principal)
AWC/2010022679801
Internet Securities and Michael Wayne Beardsley (Principal)
AWC/2009020930302
Isaiah Solomon
AWC/2009020265401
James Carl Gaul (Principal)
AWC/2010021058402
James Malcolm Reardon
AWC/2010021058404
Jared Robert Lynch
AWC/2011029347801
Jason Sean Harrison
AWC/2009018648901
Jeffrey Alan Smith (Principal)
AWC/2010022715605
Jeffrey Rachlin (Principal)
AWC/2010021058403
John Daniel Abbruzzese
AWC/2010021144501
John Maraldi Grover III
AWC/2010022180101
Joseph John Giuliano (Principal)
AWC/2009019382101
Kenneth William Gneuhs (Principal)
AWC/2010022715606
Raymond Thomas Blunk
OS/2007008935009
Richard Scott From aka Richard Scott Winther (Principal)
AWC/2010021116001
Ronak C. Patel
2010024540401
Ronald John Garabed Sr.
AWC/2010024175501
Ronald William Cheney
AWC/2010022535201
Scott Andreu Roges
AWC/2010024280601
Scott David McElhenny (Principal)
AWC/2009020124301
Stephen Michael Mazurek Jr.
AWC/2010021749202
Steven Gayne Winters (Principal)
OS/2009019911701
Steven Mark Peaslee (Principal)
OS/2009020134201
Thomas William Scanlon
AWC/2010024313001
v
AWC/2010021236201
William Alexis Cronin Jr.(Principal)
AWC/2011025885801
November 2011
Brian Wade Boppre (Principal)
AWC/2009019125904
Brookstone Securities, Inc.,David William Locy (Principal),Mark Mather Mercier (Principal), and Antony Lee Turbeville (Principal)
OS/2009017275301
Cheryl Ann McMahon
AWC/2011027268801
Christopher James Neri
AWC/2009021029624
Corey Vernon Darling
AWC/2009020307101
Daniel Joseph Voccia II (Principal)
AWC/2009017195203
Daniel Lee Puplava (Principal)
AWC/2007010991901
Dennis Lee Grossman (Principal)
OS/2008011672301
Donald Anthony Duarte Jr.
2009018133802
Edgar Rhodes Hauser Jr
AWC/2010023178101
Eric Adam Axel
OS/2007010889202
Euro Pacific Capital, Inc.
AWC/2009016300801
Frank A. Gutta aka Fazel A. Gutta
AWC/2009017447501
Gavin Michael Wilson
AWC/2011027249601
Harmik Sarian
AWC/2010022545001
J.P. Turner & Company, LLC and James Edward McGrath (Principal)
OS/2009016612701
Jason Pedigo
AWC/2010025512501
Joanne Lynn Cramer (Principal)
AWC/2009020729101
John William Grant (Principal)
AWC/2011025940601
Kevin Francis Garvey (Principal)
OS/2009018183501
Kristen Anne Jacques
AWC/2010024077701
Krittibas Ray
AWC/2010023781701
Legent Clearing LLC, dba Legent Clearing
AWC/2008013543501
Michael Ray Howard (Principal)
OS/2008012282901
Nathan Eugene Calhoun
AWC/2011026223401
Nathaniel Aaron Finkin
AWC/2009020132901
Paul Leon White II
OS/2009017798201
Ralph Howly Phillips (Principal)
AWC/2009017746801
Richard Bert Howes
AWC/2011026308301
Richard Edwin Lenhardt Jr.
AWC/2009019388001
Scott Stafford McLean (Principal)
AWC/2010024607501
Steven Krasner aka Steven Zarkhin
AWC/2009019995901
Steven Lenard Jessup Jr.
AWC/2009021029623
Timothy Clarke Higgins
AWC/2010024338201
Tracey McInchak
AWC/2010022690601
October 2011
Aaron Joseph Coculo
AWC/2011026065501
Andrew Joseph Longoria
2009019969101
Birkelbach Investment Securities, Inc. and Carl Max Birkelbach (Principal)
OS/2009016354101
Brookstone Securities, Inc.
AWC/2009016158302
Bryan Lee Addington
2010021774001
Capital Financial Services, Inc.
AWC/2009019125903
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
Frost Brokerage Services, Inc.
AWC/2008014620601
Gordon Michael Budreau
AWC/2010021222101
Jaime Campos Lopez
AWC/2009018640401
Jeremy Nathan Swank (Principal)
AWC/2010021615501
Jerry William Burch (Principal)
2005000324301
Jo Ann Marie Head
2009017530101
Karl Henry Rodriguez (Supervisor)
AWC/2011026130701
Kellyann Fortney
OS/2009020645901
Lonnie Lee Dusenberry
AWC/2010022516401
Marcus Patrick Camp (Principal)
AWC/2009019276101
Markus Beat Pletscher
AWC/2009019969801
Michelle Yvette Mangum
AWC/2009017685301
Miguel Alex Rosas
AWC/2010024396001
NAME REDACTED
AWC/2010022728801
Patrick Francis Harte Jr. (Principal)
2006004666601
Patrick Thomas Walker (Principal)
AWC/2008011724302
Ronald Marvin
AWC/2010021174501
Roseann Bunshaft
AWC/2010024803101
Ruben Velez
AWC/2010025242801
Stephen Christopher Montgomery (Principal)
AWC/2009021029707
Steve R. Caudle
AWC/2010022881701
Vikas Goel
AWC/2009020539701
William James Lasko (Principal)
OS/2009020174801
Yaman Huseyin Sencan (Principal)
AWC/2009016323801
September 2011
Andrew George Spotts
2009018661801
Ayre Investments, Inc. and Timothy Tilton Ayre (Principal)
OS/2009016252601
Brian Scott Brewer (Principal)
OS/2005002244102
Carmela Lina Moro Knieriem
AWC/2010024724901
Charles Caputo Jr.
OS/2009016885101
Colleen Anne Averill
AWC/2009018941502
David John Klecka Jr. (Principal)
OS/2010021189601
David Matthew Chase
AWC/2010021866301
Devin Raj Anand
2009017302001
E1 Asset Management, Inc.
AWC/2010021038901
Frank Patrick O’Lear Jr. (Supervisor)
AWC/2010022872001
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
Merrill Lynch, Pierce, Fenner & Smith, Incorporated
AWC/2009020383001
Michael Braden Golembiesky
AWC/2011026436301
Nanes, Delorme Capital Management LLC
AWC/2009016349601
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
Searle & Co. and Robert Southworth Searle (Principal)
AWC/2009016262101
Terry Tin Sing Tang (Principal)
AWC/2010021897401
Thomas Michael Aretz
2009017764301
Timothy Charles Cross
AWC/2010021640302
Veritrust Financial, LLC
AWC/2008011640802
Vision Securities Inc. and Daniel James Gallagher
2008011701203
August 2011
Aaron Lee Boehm (Supervisor)
AWC/2010022029101
Alan English Smith (Principal)
2008014961701
Colby R. Swartz
OS/2008016187201
David Lee Cheviron (Principal)
AWC/2010022831701
Dennis Osborn Beadle
AWC/2009021029706
Deutsche Bank Securities Inc. and Adrienne Barrett Tubridy (Supervisor)
AWC/2008013864402
Indiana Merchant Banking and Brokerage Co., Inc.
AWC/2009016067901
Jacen Darrel Work (Principal)
AWC/2009021029621
James Spottswood Gibson
AWC/2009019827801
Jared Austin Poe
AWC/2010021867401
John Edward Good Jr.
AWC/2010023094301
John Paul Mondello
AWC/2009019573901
Joshua Albert Galiani
2009017619001
Larry Richard Gregory
AWC/2011026406001
Leroy Henry Paris II (Principal)
AWC/2009019070102
LPL Financial LLC
AWC/2010021545201
Midtown Partners & Co., LLC
OS/2008012242901
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
Trustmont Financial Group, Inc. and Peter Daniel Dochinez (Principal)
AWC/2009016311801
July 2011
Alfonso Fiero (Principal)
2008015329001
Andrew Joseph Franz
AWC/2010025073601
Bart Chad Christensen
AWC/2009018990002
Brian Daniel Parker (Principal)
AWC/2008015729701
Brookstone Securities, Inc. and David William Locy (Principal)
AWC/2009019837303
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
Edward Philip Gelb (Principal)
AWC/2009019466601
Frank J. Scarcello III
2010021368801
Frederick Xavier Veile III
AWC/2009020153401
Garden State Securities, Inc. and Kevin John DeRosa (Principal)
AWC/2009018819201
Grant Williams L.P.
AWC/2009016225201
John Stultz Poland
AWC/2010023613401
Jose Luis Vinas
2009017198901
Kenneth Richard Campbell III (Principal)
AWC/2010024997001
Kevin Todd Mehlman
AWC/2009018297901
Kimberlie Munsie Clark (Principal)
AWC/2010025003701
Lauren Tricia Cyrus (Principal)
AWC/2009017399501
Lien Thi Huynh
AWC/2009018467001
Manuel Jose Leon Jr. (Principal)
AWC/2010024861802
Maritza Del Carmen Cruz
AWC/2009019865801
Matthew John Iskric
AWC/2009017857501
Michael Wilson Adams (Principal)
AWC/2010023818301
National Securities Corporation and Matthew G. Portes (Principal)
AWC/2009019068201
Nicole R. Palumbo
AWC/2010023810201
Patrick Shawn Kennedy (Supervisor)
AWC/2009018671501
Prakash Devendranath Simha
AWC/2009020863401
Prestige Financial Center, Inc. and Lawrence Gary Kirshbaum (Principal)
AWC/2009016405902
Ryan Jeffrey Kirkpatrick
2006004666601
Salvatore Demeo Jr.
2009018139301
Sammy Gail Page
AWC/2011027424501
Searle & Co. and Robert Southworth Searle (Principal)
AWC/2010022352301
Shaun Michael Donahue
AWC/2009021029619
Stephen James Nicklas
AWC/2010025194301
Thomas Michael Kinser
2009017466201
Timothy Martin Foster
AWC/2008015078602
Tina Marie Newman (Principal)
2008011719501
UBS Securities LLC
AWC/2009018057401
Wendy Rice Stern
AWC/2009018870401
June 2011
Abhijit Chakrabortti
AWC/2009017892301
Ameriprise Financial Services, Inc.
AWC/2008013648002
Brean Murray Carret & Co., LLC
AWC/2009016262303
Canaccord Genuity, Inc. fka Canaccord Adams, Inc.
AWC/2009016251601
Carla Wendy Cooper
AWC/2010023825201
Charles Edward Severt Jr.
2010023062101
Cholia Hicks
AWC/2010022212301
Daniel Scott Sheedy
OS/2008015180901
David Alan Kepes
AWC/2009019009101
David Elijah McKee (Principal)
AWC/2008011640801
Dean Irwin Cronister (Principal)
AWC/2009016709019
Edward R. Von Lumm IV
AWC/2010024607801
Eric Lichtenstein (Principal)
AWC/2009018339703
Francis Paul Anton II
AWC/2009018062601
Freddy A. Medina
2009016551301
Geoffrey Richards Securities Corp.
AWC/2009015971101
Holly Ann Gunnette
OS/2006004943101
Jeffrey Nicholas Lombardi (Principalo)
AWC/2010023537101
John Brady Benson Sr.
AWC/2009019322201
Jon Tadd Roberts
AWC/2009018509601
Joseph Stephen Orendorff
2009016698303
Matthew Mark Rairigh
AWC/2009018240001
Michael Douglas Larsen
2009018143701
Michael Wayne Evans
OS/2009017222501
Monex Securities, Inc.
AWC/2008014078801
Montford Sater Will (Principal)
AWC/2009018334601
Morgan Stanley & Co. Incorporated
AWC/2009017072302
NFP Securities, Inc.
AWC/2007011393902
Oscar Tomas Ortiz III
2009019460001
Philip Kenneth Mahler (Principal)
AWC/2009017244601
Portfolio Advisors Alliance, Inc. and Marcelle Long (Principal)
OS/2008011640602
Robert Joseph Oftring (Principal)
AWC/2009019996501
Scott Davis Johnson (Princiipal)
AWC/2009018077101
Shanoa Adrianne Rose Akins
AWC/2011027093001
Uzo Omar Chima (Principal)
AWC/2006007105101
May 2011
Brewer Financial Services, LLC , Adam Gary Erickson (Principal) and Steven John Brewer
AWC/2010023252701
Bulltick, LLC, Javier Guerra (Principal) and Victor Manuel Robles (Principal)
AWC/2006006958101
Carl Henry Blanchard
AWC/2010021436501
Cesar Madrigal
2009019322001
Charles Hyman Brown (Principal)
AWC/2008011707003
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
Douglas Daniel Ivan (Principal)
AWC/2010022805201
Edward Charles Bartlett III
AWC/2009019969201
Eric Langholtz
AWC/2009017282801
Eric Renard Garrison (Principal)
AWC/2009020931201
First Dallas Securities Incorporated
AWC/2009016267801
Firstrade Securities Inc.
AWC/2009016640101
Gary Scot Cohen (Principal)
AWC/2009020792101
Grand Capital Corp. and Eliezer Gross Homnick (Principal)
AWC/2007008158203
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 Paul Dickamore
2009017212301
Michael Steven Jacobson
AWC/2009017282401
Newbridge Securities Corporation
AWC/2009016159401
Paul Ricky Mata (Principal)
AWC/2009017465601
Penena Karpel McRoberts
AWC/2009017606101
Puritan Securities, Inc. nka First Union Securities, Inc. and Nathan Perry Lapkin (Principal)
AWC/2009017339801
Pyramid Financial Corp. and John Hsu a/k/a Juan Hsu (Principal)
2008011600501
Reba Rose Cope
2009020243101
Registered Rep
AWC/2010021348101
Robin Bruce Davidson (Principal)
OS/2008016063601
Robin Fran Bush (Principal)
AWC/2009016159402
Robin Fran Bush (Principal)
AWC/2009016159402
Scott Jeffrey Adler
AWC/2010021436901
Thomas W. McMahon
AWC/2010024706201
TradeStation Securities, Inc.
AWC/2010023770401
UVEST Financial Services Group, Inc.
AWC/2008012048601
Weston International Capital Markets LLC
AWC/2009016198601
William Thomas Hernandez,
AWC/2010025260501
April 2011
Alvin Waino Gebhart Jr. (Principal) and Donna Traina Gebhart (Principal)
C0220020057
Anthony Edward Guaimano (Principal0
AWC/2008012444205
Charles Joseph Fiorucci
AWC/2010022424201)
Christopher Malchin
AWC/2010021389601
Courtlandt Gerdes Miller (Principal)
OS/2008013183601
DaLean Annette Rials (Supervisor)
AWC/2009019405601
Daniel A. Contreras (Principal)
AWC/2009018398701
Earnest Flowers III
OS/2009016956601
Gifford Keith Jordon
AWC/2010024417101
Hyon Chu Kang
AWC/2010022258701
James Gabor Doering (Principal)
AWC/2009018661401
Janet A. McDermott (Supervisor)
AWC/2010022100601
Jennifer J. Guelinas
AWC/2010025098101
John Milton Rose
AWC/2010022089101
Kevin Leslie Moyer (Principal)
AWC/2009020137301
Linda Louise Johnson
AWC/2010021494801
Michael William Keleher
OS/2008013229701
Mission Securities Corporation and Craig Michael Biddick (Principal)
2006003738501
National Securities Corporation
OS/2008011571801
Ray Joseph Starner
AWC/2010022383001
Richard Mark McKinnon
AWC/
Robert Lee Keys (Principal)
OS/2009017125101
Sanjeev Jayant Shah
2009017788201
Susan Mae Karn
AWC/2010022067901
William Robert Whitehurst
AWC/2010021401001
Woodrock Securities, L.P.
AWC/2009016279401
Workman Securities Corporation
AWC/2009018818401
March 2011
Canaccord Genuity Inc. fka Canaccord Adams, Inc.
AWC/2008012243901
Christina Marie Neumeyer
AWC/2009018415201
Christine Mary Ryerson (Principal)
AWC/2009020567801
Craig Harold Schwarten
AWC/2008012927502
Craig Michael Bettencourt
AWC/2010023336301
Dahlman Rose & Company, LLC
AWC/2009016138801
Dane Carl Sternecker
AWC/2009016781201
David Michael Brown
AWC/2009016590801
David Wayne Bombard
AWC/2009019977001
Donna Marlene DiMaggio
AWC/2009018193801
Dustin Kent Jefferies (Principal)
AWC/2009018919701
Edward Gerald Spinelli
AWC/2009018288301
Edward Howard Schrufer Jr. (Principal)
AWC/2008013198902
Eric Damien Kallies
AWC/2009016654401
First Clearing, LLC
AWC/2008012791101
First New York Securities L.L.C.
AWC/2006005271003
James Robert Riolo (Principal)
AWC/2010022499001
Joe Evan Still and John Richard Still
OS/2008014358101
John Leslie White
AWC/2009016876801
Jordan Anne Arnold
AWC/2009018327001
Joseph Jeffrey Mattia (Supervisor)
OS/2008016120501
Kyle Egress
AWC/2009021029705
Lillian S. Scales
AWC/2010023669001
LPL Financia Corporation nka LPL Financial LLC
AWC/2009016922702
LPL Financial Corporation nka LPL Financial LLC
AWC/2009016570001
M. Paul De Vietien
2006007544401
NAME REDACTED (Supervisor)
AWC/2008014144201
Puritan Securities Inc. aka First Union Securities, Inc.
AWC/2008012927503
Robert John Griffin
AWC/2009020328201
Roger Craig Fulton (Principal)
AWC/2009018041101
Stanley Jerome Keyes (Principal)
OS/2009017605101
Stuart Phillip Miller
AWC/2009018219101
Teri Sue Shepherd (Principal)
AWC/2009017136101
Vincent Michael Bruno (Principal)
AWC/2009018771701
William Echeverri
AWC/2009016948201
February 2011
Andrew Gregory McGrath
AWC/2009018123301
Andy Young Lee
AWC/2008015985601
Benjamin Harry Cohen
AWC/2009017087301
Bobb Arthur Meckenstock (Principal)
OS/2008011612602
Bradley John Delp
AWC/2007008935005
Buka Uzoma Nwigwe aka Chukwuebuka Nwigwe
#2009019332001
Carlos C. Sarmiento Jr.
OS/2009019888601
Carson Jay Woods
AWC/2009021029616
Chapin, Davis
AWC/2010021065701
Christopher Gregory Gibas (Principal)
AWC/2005002244703
Clark Alexander Reinhard
AWC/2010021577101
Cynthia Ann Bulinski
AWC/2005002244704
Dallas Ray Seagraves II (Principal)
2007009181101
Daniel Michael Doderer
AWC/2009020824101
David Scott Isolano (Principal)
OS/2007007253803
Dennis O’Neal Blackstone (Principal)
2009020488001/AWC
Derek Matthew Christenson
2009019406701
Dorval Knight McLaughlin Jr.(Principal)
AWC/2008016319801
Douglas Christopher Green (Principal)
2008012444201
Francis Thomas Duffy (Principal)
AWC/2008013287601
Gregory James Buchholz
AWC/2010023931401
Hansel Clarence Cua Lee
2008015280701
Jack Thomas Kennebeck (Principal)
AWC/2009019042001
Jarred A. Milliner
AWC/2010021764801
Jason Leekarl Beckett
AWC/2009016600001
Joshua A. Ellis
AWC/2009016923602
Kim Edward Elverud (Principal)
OS/2008013429301
Laura Jane Leiker (Principal)
AWC/2010022030901
Linda Mary Bakalis Schurr
AWC/2007009073002
Lochlainn Ohaimhirgin
AWC/2007008935006
Louis A. Wright (Principal}
AWC/2007010986202
Mamoru Takeuchi aka Marr Takeuchi
AWC/2009017628301
Mark Peter Erlich
AWC/2008012634701
Martin Dean White Sr. (Principal)
AWC/2008012577601
MBSC Securities Corporation, BNY Mellon Capital Markets LLC and BNY Mellon Securities LLC
AWC/2010021312001
Michael Douglas Hanke
AWC/2009016739701
Michael Rozenbaum
AWC/2009016742001
Patrick Cissne
AWC/2009021029615
Paul Michael Rodak (Principal)
AWC/2007008935003
Peter Joseph Bonnell III (Principal)
AWC/2007009073001
Philip Michael O’Hearn (Principal)
AWC/2010022804601
Pinnacle Financial Group, LLC
AWC/2009015974501
Randall Edgar Robinson II
AWC/2010022635301
Randie Jill Sanford
AWC/2007011320901
Resource Horizons Group LLC
AWC/2009017637201
Richard G. Mailloux Sr.
AWC/2009017337801
Robert A. Hoffmann
2008014739501
Robert Anthony Yacovone (Principal)
AWC/2010021361001
Robert Charles Keane (Principal)
AWC/2007008935004
Ronald George Spomer II
AWC/2009018497601
Thomas Jones Charles Jr.
2008016036901
Timothy Robert Mays
AWC/2009020791701
Todd Randall Ware (Principal)
AWC/2007008935007
UBS Securities LLC
AWC/2010022093601
January 2011
Andrew Thomas Wrigley
AWC/2009021029614
Antonio Herrero-Rovira (Principal)
2008013833601
Brecek & Young Advisors, Inc.
AWC/2008011574401
Cambridge Legacy Securities, L.L.C. and Tommy Edward Fincher (Principal)
AWC/2009020319001
Chad R. Duncan (Principal)
AWC/2009017755101
CMG Institutional Trading LLC and Shawn Derrick Baldwin (Principal)
2008012026601
Daniel J. Trolaro
AWC/2010021844401
David William Reimers (Principal)
AWC/2010022393501
David William Trende
2007008935010
Edmond Sloan Duvall
AWC/2008015702201
Fidelity Brokerage Services LLC
AWC/2008015470101
George Abbott Berry
AWC/2009017596901
Glendale Securities, Inc.
AWC/2009019747601/20060075263
Janney Montgomery Scott, LLC
AWC/2007009458001
Jenny Quyen Ta (Principal)
AWC/2010021538701
Jesup & Lamont Securities Corp
2009020539501
Joe Michael Kirk
AWC/2009017797201
John Henry Fernandez
AWC/2009019405801
Jupiter Distribution Partners, Inc.
AWC/2009015972701)
Kirk Alan Tessendorf
AWC/2009018272001
Legacy Trading Co., LLC and Mark Alan Uselton (Principal)
2005000879302
Leslie David Kruse
AWC/2009020491201
Lyndall Conway Medearis Jr. (Principal)
AWC/2008014825001
Mahmood Hasan Usmani
AWC/2010022476001
Marilyn Louise Yamanaka
AWC/2009016709018
NAME REDACTED
AWC/2009021029703
NEXT Financial Group, Inc.
AWC/2009016272902
Novin Ghaffari Nikou
OS/2008015095101
Peter Joseph Brandstaetter
AWC/2008014880601
Robert Charles Pollock
AWC/2009019042301
Robert John Zamecki (Principal)
AWC/2009016987401
Sharon Elsene Givens
2008014705101
Stephen Richard Ventura
AWC/2009018522001
Stuart Gregory Burchard (Principal)
OS/2008011656401
Torrey Pines Securities, Inc. and NAME REDACTED (Principal)
AWC/2007011125103
U.S Financial Investments, Inc.
OS/2009016309701
UBS Financial Services Inc.
AWC/2009017976301
Vincent Michael McGuire
OS/2007008239001
Vincent Patrick McCrudden (Principal)
2007008358101
William James McCluskey (Principal)
AWC/2009016262301
Winston John Cutter Jr.
OS/2009017532101
2011
Sammons Securities Company, LLC and Carl Monroe Mook (Principal)
AWC/2009017821401
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