Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
OUTSIDE BUSINESS ACTIVITIES
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
David Smith Kopp
AWC/2008015308201
AWC/2008015308201
Dwight John Schaefer
AWC/2008012636401
AWC/2008012636401
Julio Enrique Serrano
2009017710701
2009017710701
Li Kopp (Principal) aka Sabrina Kopp, Li Guo, and Sabrina Guo
AWC/2008015308001
AWC/2008015308001
Mark William Beggs
AWC/2009018374401
AWC/2009018374401
Michael Joseph Leary (Principal)
AWC/2009017279601
AWC/2009017279601
Norman Lee Kearney Jr.
AWC/2009017287701
AWC/2009017287701
Randall Allen Gissendaner
AWC/2009016709013
AWC/2009016709013
Robert Anthony Cataldo
AWC/2009017809101
AWC/2009017809101
Rodney Brian Moss
AWC/2009016709015
AWC/2009016709015
November 2010
Conrad Lee Fitzwater
AWC/2009016709009
AWC/2009016709009
Dennis Lee Keating II (Principal)
AWC/2007011125101
AWC/2007011125101
Fredric Henry Gardner
AWC/2009020196301
AWC/2009020196301
Roger Howard Garrett (Principal)
AWC/2009016709008
AWC/2009016709008
Ronald Arthur Knight (Principal)
AWC/2009016709007
AWC/2009016709007
Thomas J. Munnelly (Principal)
AWC/2009018407701
AWC/2009018407701
October 2010
Andrew Ann Kow Hsu
AWC/2008014479001
AWC/2008014479001
Daniel Hope Hughes
AWC/2008012817301
AWC/2008012817301
Duane Alan Carr
AWC/2008013303601
AWC/2008013303601
Stephen Dee Linge
AWC/2008015795401
AWC/2008015795401
September 2010
Bear William Woznick
AWC/2008014726301
AWC/2008014726301
David Charles Miller
AWC/2008013077101
AWC/2008013077101
Gregory Earl Hafen (Principal)
AWC/2009016709011
AWC/2009016709011
Leon A. Cutler
AWC/2008014925901
AWC/2008014925901
August 2010
Brookville Capital Partners LLC fka New Castle Financial Services LLC
AWC/2008011678303
AWC/2008011678303
Christopher John Looney (Principal)
OS/2008013531001
OS/2008013531001
David Alan Murrell
AWC/2008015274701
AWC/2008015274701
Frank Gerallimo Manziano
OS/2009016956501
OS/2009016956501
Kenneth Francis Jewell
AWC/2009017425001
AWC/2009017425001
Marshalle Adine Wright
AWC/2009017320301
AWC/2009017320301
Rebecca Ann Kortman
AWC/2009016790401
AWC/2009016790401
Richard Michael Bowers (Principal)
2006003916901
2006003916901
July 2010
Edward William Overdyke
AWC/2008014701201
AWC/2008014701201
James Michael Porrazzo
2007009436401
2007009436401
William Blaze Krusheski (Principal)
AWC/2008011640601
AWC/2008011640601
Willie James Brice Jr. (Supervisor)
AWC/2008013831902
AWC/2008013831902
June 2010
Carl A. Page
AWC/2009016909201
AWC/2009016909201
John Andrew Polychronis
2009018386601
2009018386601
John Roy Boyer
AWC/2008016202501
AWC/2008016202501
Tiffany Leigh Zachary
AWC/2008015839101
AWC/2008015839101
Walter Allen Ellis (Principal)
2007007873101
2007007873101
May 2010
David Bigelow Crocker
OS/2007011151502
OS/2007011151502
Jason Allen Groth
AWC/2007007981002
AWC/2007007981002
Rob William Friemoth Jr.
AWC/2007010328201
AWC/2007010328201
April 2010
Kenneth Ray Prevett Jr.
AWC/2008014399401
AWC/2008014399401
Leonard Charles Brown
OS/2007009081801
OS/2007009081801
Lily Korine Engelhardt (Principal)
AWC/2007011151503
AWC/2007011151503
Richard Albert Snyder Jr.
AWC/2008012517601
AWC/2008012517601
Ronald Urban Schulze (Principal)
AWC/2008015277401
AWC/2008015277401
Steven Howard Delott
AWC/2007011393901
AWC/2007011393901
William Robert Colston (Principal)
AWC/2008012057401
AWC/2008012057401
March 2010
Michael D. Rhodes
AWC/2009018521601
AWC/2009018521601
February 2010
Brett Sterling Kleese (Principal)
AWC/2008013575101
AWC/2008013575101
Gerald David Morales
OS/2007011089301
OS/2007011089301
Mary Lynn Gilbert (Principal)
AWC/2009016933001
AWC/2009016933001
January 2010
Douglas Milton Lounsbury
AWC/2007009655101
AWC/2007009655101
James Scott Stanley
AWC/2007009216001
AWC/2007009216001
Enforcement Actions
Search in Outside Business Activities
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Outside Business Activities Archive
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