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Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
OUTSIDE BUSINESS ACTIVITIES
2011
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 2011
Alan Stuart Pattee
AWC/2010023232101
Harry (Tito) Hernandez
AWC/2009020091201
Isaiah Solomon
AWC/2009020265401
Jason Sean Harrison
AWC/2009018648901
Joseph Anthony McIntyre
AWC/2010024485401
Ronald William Cheney
AWC/2010022535201
November 2011
Byron Edward Meyer
AWC/2011026619801
Corey Vernon Darling
AWC/2009020307101
Paul Leon White II
OS/2009017798201
Richard Bert Howes
AWC/2011026308301
Timothy Clarke Higgins
AWC/2010024338201
October 2011
Brian Reuben Mitchell
OS/2009017279501
James Michael Lenzi
AWC/2009020835202
Ryan Christopher Gold
AWC/2009018050801
William John Blasko Jr.
AWC/2009020835201
September 2011
James Leo Carroll
AWC/2009016911201
John Rolland Haeffele
AWC/2009019590501
Richard Barry Holody
AWC/2010022152201
Timothy Charles Cross
AWC/2010021640302
William Charles Davis
AWC/2009018726501
August 2011
Cheryl Ann Villani
AWC/2009017944301
John Ross Cocozza
OS/2009020390701
Larry Richard Gregory
AWC/2011026406001
Paul Tao Jan
AWC/2010021640701
Scott Thomas Brandt
AWC/2009017603801
Timothy D. Camarillo
OS/2010023612301
July 2011
Bart Chad Christensen
AWC/2009018990002
Jeffrey Garland Kelly
AWC/2010025192301
Maritza Del Carmen Cruz
AWC/2009019865801
June 2011
David Alan Kepes
AWC/2009019009101
John Brady Benson Sr.
AWC/2009019322201
Kirk Kenneth Kepper
AWC/2009020594801
May 2011
Dale Allen Eppler
AWC/2009018149601
Devon Coulin McLean
AWC/2009016806001
Eric Langholtz
AWC/2009017282801
John Godfried Croes Jr.
AWC/2009017291201
Michael Steven Jacobson
AWC/2009017282401
April 2011
Gary Chew
AWC/2008014479002
March 2011
Adam Howard Markowitz
AWC/2009018550901
M. Paul De Vietien
2006007544401
February 2011
Andrew Gregory McGrath
AWC/2009018123301
Ronald George Spomer II
AWC/2009018497601
January 2011
Joe Michael Kirk
AWC/2009017797201
Leonard Raymond Connell
AWC/2009020402601
Lynda Corean Paul
AWC/2009017978901
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