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Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
PRIVATE SECURITIES TRANSACTIONS
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.
December 2009
Brian Joseph Hoshowski
AWC/2008012450001
David Richard Eldredge (Principal)
AWC/2007011355401
First Financial Equity Corporation and George Edward Fischer (Principal)
OS/2006004707201
Raymond Francis Leggett III
AWC/2007009151001
November 2009
Craig William Hansen
AWC/2009017804701
October 2009
David M. Sohn
AWC/2008012988801
Jared Scott Friedman
AWC/2009017804501
Michael Kipland Czerny
AWC/2007010642101
Randy Lee Inserra
AWC/2007010792801
Sergio M. Del Toro (Principal)
AWC/2007007777501
September 2009
Christopher Scott Airey (Supervisor)
AWC/2007011128201
Derek Roy Kent
AWC/2007008911201
Piyush Manubhai Patel
AWC/2009017804601
Steven Boyle Yamashiro (Principal)
2007008723501
August 2009
Darrel Gideon Kluge
AWC/2008012186401
Gail Sylvenia Frick
AWC/2008013428001
James Richard Thomas (Principal)
AWC/2008014538301
Jan Lynn Brueggemann
2007008976201
Jeffrey Douglas Stadelmann
AWC/2008012970401
Raymond Edward Clay Sr. (Principal)
AWC/2008013939501
REDACTED (Principal)
OS/2007007795401
Roland Karl Kaeser (Principal)
AWC/2007009154601
Stephen Wayne Walker (Principal)
AWC/2007009916101
July 2009
Guy William Gane Jr.
OS/2006006147001
Robert Michael Bonner
AWC/2007011402701
William Edward Cline (Principal)
AWC/2007011308401
June 2009
Randy Brian Weaver and Richard Lance Will
AWC/2007008587501 &
May 2009
Corbin Taylor Jones
2006004969704
Michael Dean Reysack
AWC/2008013269801
Michael Vincent Davies
AWC/2007011285101
April 2009
Carlos Manuel Bravo
OS/2007011272601
Hallmark Investments, Inc. and Steven Gary Dash (Principal)
OS/2006003689501
Jason Patrick Kavanaugh (Principal)
AWC/2008012199301
Jeff David Jewett
AWC/2007008994701
Phillip Alan Pickle (Principal)
AWC/2007011096901
February 2009
Gabriela Frances Burse
2007009262301
Glenn James Meyer (Principal)
2007009571601
January 2009
Alan Lawrence Jacobs (Principal)
AWC/2006004949203
Bobby Glenn James
AWC/2007007663902
James Jay Robinson Jr.
2006006624301
Noah James Aulwes
AWC/2007009254101
Patrick Allen Bruns (Principal)
AWC/2007009303601
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