Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
U4, U5, RE-3, RULE 3070
2009
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
Jonathan Stuart Solonche
AWC/2008014858901
Robin Lynn McKenny
2007009454501
November 2009
Alex Amner Borukhov
2008012444301
Alexander Andujar
2007009001001
Jason Edward Greenspon
AWC/2009017219901
Joshua William Moss
2008014116901
Michael C. Metters
AWC/2008012057801
Michael Gene Walker
AWC/2008014921201
Mitchell Ted Toland
OS/2007009978502
Scott Allan Shapiro
OS/2007009179401
Stephen John Doyle
2008012812301
October 2009
September 2009
Jimmie Lee Pfeffer Jr.
AWC/2007010685801
Kevin Joseph Speicher
AWC/2008014413201
Lorenzo Vela
2008014409801
Pamela Kelley Fox
AWC/2008015140101
Stephen Timothy Crawford
OS/2008013892301
August 2009
Robert Ahmad Samei
2007010925001
July 2009
Advanced Equities, Inc.
AWC/2008011633601
Martin Paul Clark
AWC/2008013304001
Ruby Louise Melton
AWC/2008014533101
Todd M.Matney
AWC/2008013330101
June 2009
Desmon Renoral Jackson
AWC/2008013359701
Hrant Berge Tosbath
AWC/2008012316401
Kellye Allen Rainey
2007009291201
Shannon Mitchell Hancock
AWC/2008011980501
May 2009
Alan Joseph Ganim
AWC/2007010192201
Brian Scott Brown
2008013493101
Jason Adam Craig
E8A2004095901
Kevin J. MacDonald
2007010344801
Miriam Therese Dever
AWC/2007010858601
Peter M. Castelluccio
AWC/2008012581401
April 2009
Philip Donato Rossi
2007010767201
William Andrew Drake Jr.
AWC/2008012706601
March 2009
Anton Yereshkin
2007011504801
Cynthia Nawita Pete
2007011080601
Max A. Mora
AWC/2008012208901
Michael Lee Ihrig
AWC/2007010236301
Paul J. Hytken
AWC/2007007727801
February 2009
Iqbal Ashraf (Principal)
OS/2007007372701
Israel I. Echi
2007010774001
Zenaida Rita Garcia
2007010993901
January 2009
Edward Darell Williams
OS/2007009202401
James Jhun
AWC/2007009278101
Yvonne Thomas
OS/2006004375701
Enforcement Actions
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