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Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
OUTSIDE BUSINESS ACTIVITIES
2009
REFERENCE: NASD Conduct Rule 3030 | NASD Conduct Rule 3030 | NYSE Rule 346.
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.
Click here to view FINRA actions with all info on this page
December 2009
Martin Luther Royster
OS/2007010688401
Michael Andrew Betten
AWC/2008013430901
Thomas Earl Brand
AWC/2008013307301
November 2009
Dennis Brown
2007010450601
Jessica Ann Condosta
AWC/2008012820401
Kerry Lamont Hairston
AWC/2008014418801
Kevin Paul O’Brien
AWC/2008015004001
October 2009
James Sharpe Stanton
AWC/2008014243301
September 2009
Daniel Lee Eppinga
AWC/2007009718801
Derek Roy Kent
AWC/2007008911201
Joseph Ryan Quinn
AWC/2007009718802
Kenneth Scott Rubin
OS/2007011499201
August 2009
Darrel Gideon Kluge
AWC/2008012186401
Gail Sylvenia Frick
AWC/2008013428001
Hector J. Gallardo
2007010869001
REDACTED (Principal)
OS/2007007795401
July 2009
David Robert Lewandowski
AWC/2007011817201
Fabian Cesar Seyller
AWC/2007009359601
Paul Anthony Verostko
AWC/2008012540801
Robert Michael Bonner
AWC/2007011402701
Thomas Campbell
AWC/2007011120501
June 2009
Galen Mark Shoff
AWC/2008015323501
Steven Effron
AWC/2007009353701
Terry L. Westlund
AWC/2008012075301
Victor Manuel Puig
AWC/2007008178501
Yongsheng Xu
AWC/2007011851801
May 2009
Nathan James Lorne
2006005523401
April 2009
Allerton Towne
2005003031001
Gary Allen Hanson
AWC/2007010999601
Mitsuhiro Ide
AWC/2007009360801
Philip Donato Rossi
2007010767201
March 2009
Jorge Gomez Jr.
2007010995401
Kenneth Lenell Street
AWC/2007010105201
February 2009
Brian Robert Nord
AWC/2007007609901
Daniel Joseph Roberts
AWC/2007008016201
Eric Andy Fiszer
AWC/2007010577101
James Stanley Gossett
AWC/2007008653501
Jeffery David Hunt
AWC/2007008946401
Tamra Renee Morriston
OS/2007010598501
Yvonne Yuliene Russell
AWC/2007010844301
January 2009
David Randall Paul
AWC/2007011115801
Jeffrey Michael Stebbins
OS/2006004969703
John Keith Kutsche
2006006913501
Noah James Aulwes
AWC/2007009254101
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