Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
PRIVATE SECURITIES TRANSACTIONS
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
Kevin Scott Pound
2008012531501
Rodney Brian Moss
AWC/2009016709015
Ronald Laverne Kersey
AWC/2009016709012
November 2010
October 2010
Julie Sheau Lin Ting
AWC/2008016435101
Stephen Dee Linge
AWC/2008015795401
Thomas R. Gilman
2008013474801
September 2010
Allen Pond Mecham
AWC/2008014099301
Amy Lou Marsh
AWC/2009018844901
Bear William Woznick
AWC/2008014726301
David John DeWald
AWC/2009019041601
August 2010
Don Michael Roman
AWC/2006006777802
Marshalle Adine Wright
AWC/2009017320301
July 2010
Gregory Thomas Kwasnicki
AWC/2009018747101
Harold Lee Glover Jr. (
AWC/2008015254101
Nathan Eugene Calhoun
AWC/2009018652501
Richard Aaron Paul
AWC/2008013523101
June 2010
Carl A. Page
AWC/2009016909201
Conrad Michael Lawrence
OS/2009019042201
Ellis Gerald Halliburton
AWC/2007009605001
Guy Christian Durand Jr.
AWC/2006007002002
Max Sean Nelson
AWC/2008015220001
Tiffany Leigh Zachary
AWC/2008015839101
May 2010
Dedric Hillery Gill III
AWC/2009017234001
April 2010
Gregory Gerard Meyer
AWC/2008016397801
Horus River Brown
OS/2008013380501
March 2010
Craig Michael Taggart
AWC/2008013499801
Gary Thomas Armitage
OS/2008014319901
James William Geis
AWC/2008014980201
Leonard Kahn
AWC/2008013363601
February 2010
Christopher Peace Blake
OS/2009016709001
Gary Nelson
AWC/2008012043101
Philip Wayne Russell
OS/2007010589501
January 2010
David Nelson Cherry
AWC/2009016709003
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