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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.
December 2011
Alan Stuart Pattee
AWC/2010023232101
Harry (Tito) Hernandez
AWC/2009020091201
Internet Securities and Michael Wayne Beardsley (Principal)
AWC/2009020930302
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
Daniel Joseph Voccia II (Principal)
AWC/2009017195203
Donald Anthony Duarte Jr.
2009018133802
Frank A. Gutta aka Fazel A. Gutta
AWC/2009017447501
Paul Leon White II
OS/2009017798201
Ralph Howly Phillips (Principal)
AWC/2009017746801
Richard Bert Howes
AWC/2011026308301
Timothy Clarke Higgins
AWC/2010024338201
October 2011
Bradley Keith Vercnocke (Principal)
2008013101901
Brian Reuben Mitchell
OS/2009017279501
David Bruce Slagter (Principal)
AWC/2009018726502
James Michael Lenzi
AWC/2009020835202
John Amador Blake-Zuniga aka John Anthony Blake (Principal)
AWC/2010024761201
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
Richard Thomas Morrison (Principal) and Kimberly Ann Morrison
2008013683902
Richard Thomas Morrison (Principal) Kiberly Ann Morrison
2008013683902
Thomas Michael Aretz
2009017764301
Timothy Charles Cross
AWC/2010021640302
William Charles Davis
AWC/2009018726501
August 2011
Aaron Lee Boehm (Supervisor)
AWC/2010022029101
Alan English Smith (Principal)
2008014961701
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
Brian Daniel Parker (Principal)
AWC/2008015729701
Jeffrey Garland Kelly
AWC/2010025192301
Maritza Del Carmen Cruz
AWC/2009019865801
June 2011
David Alan Kepes
AWC/2009019009101
Dean Irwin Cronister (Principal)
AWC/2009016709019
Jeremy Kenneth Kelter (Principal)
AWC/2009019380701
John Brady Benson Sr.
AWC/2009019322201
Kirk Kenneth Kepper
AWC/2009020594801
Portfolio Advisors Alliance, Inc. and Marcelle Long (Principal)
OS/2008011640602
May 2011
Bulltick, LLC, Javier Guerra (Principal) and Victor Manuel Robles (Principal)
AWC/2006006958101
Dale Allen Eppler
AWC/2009018149601
Devon Coulin McLean
AWC/2009016806001
Douglas Daniel Ivan (Principal)
AWC/2010022805201
Eric Langholtz
AWC/2009017282801
Gary Scot Cohen (Principal)
AWC/2009020792101
John Godfried Croes Jr.
AWC/2009017291201
Michael Steven Jacobson
AWC/2009017282401
Paul Ricky Mata (Principal)
AWC/2009017465601
Robin Bruce Davidson (Principal)
OS/2008016063601
UVEST Financial Services Group, Inc.
AWC/2008012048601
April 2011
Gary Chew
AWC/2008014479002
March 2011
Adam Howard Markowitz
AWC/2009018550901
James Robert Riolo (Principal)
AWC/2010022499001
Joe Evan Still and John Richard Still
OS/2008014358101
M. Paul De Vietien
2006007544401
February 2011
Andrew Gregory McGrath
AWC/2009018123301
Bobb Arthur Meckenstock (Principal)
OS/2008011612602
Jack Thomas Kennebeck (Principal)
AWC/2009019042001
Linda Mary Bakalis Schurr
AWC/2007009073002
Mamoru Takeuchi aka Marr Takeuchi
AWC/2009017628301
Peter Joseph Bonnell III (Principal)
AWC/2007009073001
Ronald George Spomer II
AWC/2009018497601
January 2011
Janney Montgomery Scott, LLC
AWC/2007009458001
Jenny Quyen Ta (Principal)
AWC/2010021538701
Joe Michael Kirk
AWC/2009017797201
Larrye Alfie Smith (Principal)
AWC/2009020119101
Leonard Raymond Connell
AWC/2009020402601
Lynda Corean Paul
AWC/2009017978901
Robert John Zamecki (Principal)
AWC/2009016987401
Torrey Pines Securities, Inc. and NAME REDACTED (Principal)
AWC/2007011125103
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