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
Dwight John Schaefer
AWC/2008012636401
Mark William Beggs
AWC/2009018374401
Norman Lee Kearney Jr.
AWC/2009017287701
Robert Anthony Cataldo
AWC/2009017809101
Rodney Brian Moss
AWC/2009016709015
November 2010
Conrad Lee Fitzwater
AWC/2009016709009
Fredric Henry Gardner
AWC/2009020196301
October 2010
Andrew Ann Kow Hsu
AWC/2008014479001
Daniel Hope Hughes
AWC/2008012817301
Duane Alan Carr
AWC/2008013303601
Stephen Dee Linge
AWC/2008015795401
September 2010
Bear William Woznick
AWC/2008014726301
David Charles Miller
AWC/2008013077101
Leon A. Cutler
AWC/2008014925901
August 2010
David Alan Murrell
AWC/2008015274701
Kenneth Francis Jewell
AWC/2009017425001
Marshalle Adine Wright
AWC/2009017320301
Rebecca Ann Kortman
AWC/2009016790401
July 2010
Edward William Overdyke
AWC/2008014701201
June 2010
Carl A. Page
AWC/2009016909201
John Roy Boyer
AWC/2008016202501
Tiffany Leigh Zachary
AWC/2008015839101
May 2010
David Bigelow Crocker
OS/2007011151502
Jason Allen Groth
AWC/2007007981002
Rob William Friemoth Jr.
AWC/2007010328201
April 2010
Kenneth Ray Prevett Jr.
AWC/2008014399401
Leonard Charles Brown
OS/2007009081801
Steven Howard Delott
AWC/2007011393901
March 2010
Michael D. Rhodes
AWC/2009018521601
February 2010
Gerald David Morales
OS/2007011089301
January 2010
Douglas Milton Lounsbury
AWC/2007009655101
James Scott Stanley
AWC/2007009216001
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