Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
U4, U5, RE-3, RULE 3070
2011
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
Brian Simone
OS/2008016024701
David Kurt Kirby
AWC/2010023709201
Joseph Peter Rivera
AWC/2009017372201
Ronak C. Patel
2010024540401
Ronald John Garabed Sr.
AWC/2010024175501
November 2011
John Patrick Arena
AWC/2009020619101
Richard Michael Large
AWC/2010024650801
Steven Lloyd Cronin
AWC/2009020970901
Thomas Neil Razey
OS/2009019013201
October 2011
Alan Goings
AWC/2010024810401
Curt Jeffrey High
AWC/2010022448601
Michael Peter Schwartz
OS/2010023974801
Thomas Lauren Salway
AWC/2010023439901
September 2011
Brent Aaron Morita
OS/2010023830101
John Benjamin Langsett
OS/2009018582501
Nicholas Hupka
OS/2009018670101
Veritrust Financial, LLC
AWC/2008011640802
August 2011
Eric Allan Carr
AWC/2010022119701
Jared Austin Poe
AWC/2010021867401
Michael James Dwyer
AWC/2009018215801
July 2011
Matthew John Iskric
AWC/2009017857501
June 2011
May 2011
Devon Coulin McLean
AWC/2009016806001
April 2011
Jennifer J. Guelinas
AWC/2010025098101
Kelli Jo Bauer
AWC/2009019541001
Perry Mario Colletti
AWC/2009020957201
Scott Thomas McNiff
AWC/2010023138801
March 2011
Jeffrey Alan Lee
2008014233602
February 2011
Andrew Gregory McGrath
AWC/2009018123301
Antonio Demetrious Mosby
OS/2009020767901
Corey Michael King
AWC/2009020709101
David Crook
AWC/2010021397401
Randie Jill Sanford
AWC/2007011320901
Todd Austin
2008014753601
January 2011
George Abbott Berry
AWC/2009017596901
Kirk Alan Tessendorf
AWC/2009018272001
Stephen Lee Recker
AWC/2009017801501
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