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Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
U4, U5, RE-3, RULE 3070
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.
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December 2010
November 2010
Antonio Gata Bolinao Sr.
AWC/2009017831001
Feltus Barrow McKowen
AWC/2009017210601
Susan Leigh Freeman
AWC/2009020451701
October 2010
David Alan Kossak
AWC/2008014690901
Kenneth Brown (Principal)
AWC/2007007151703
September 2010
John Bernard Finigan Jr.
AWC/2009018890801
Susan Diane Klingel
AWC/2009018966701
August 2010
Carola Jean Fuller
AWC/2009018811801
Kenneth Ray Johse Sr.
AWC/2009018338201
Patrick J. Grywalski
OS/2009017153701
Peter Kai Chang
2008015348101
July 2010
Barry Eden Gitarts
AWC/2008015147201
Matthew Alan Campbell
AWC/2009018000801
Robert Martin Martinez
AWC/2009018362902
Steve G. Kelly
OS/2008015104301
June 2010
Anthony Amos Inkumsah
AWC/2009017023601
Camelia Marie Pope
AWC/2009018311501
Erin F. Harrison
AWC/2008013951601
Jonathan Randolph Bock
AWC/2008015462601)
May 2010
Scott Allan Henry
2008013969501
April 2010
Freddy Vazquez
2008012721801
Gary Ben Miner
AWC/2008014957101
James Francis Cottrell
AWC/2009019257401
Michael Madden
AWC/2009016864001
March 2010
E*Trade Securities LLC
AWC/2008011727801
Juan Gustavo Espinoza
AWC/2009016491301
Marc Jay Sitzer
AWC/2008012375801
Reginald Jenkins
2008013113401)
February 2010
Christopher James Naylor
AWC/2009017553401
Cory Holt McNabb
2007009139501
Hudson Etienne Sr
AWC/2008015957201
Philip Wade Dennis
2007011826401
Ramon Oller
AWC/2008013628501
Westrock Advisors, Inc.
AWC/2007008162201
January 2010
Cutler Group L.P.
OS/09-ARCA-12
Darren Kai Yun Lee
AWC/2008016450001
Kevin Patrick Brennan
AWC/2007007358604
Ralph Matthew Shino
E3A2005003702
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