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.

Scott Stafford McLean (Principal)
AWC/2010024607501

Jeremy Nathan Swank (Principal)
AWC/2010021615501

Jo Ann Marie Head
2009017530101

Michelle Yvette Mangum
AWC/2009017685301

Frank Patrick O’Lear Jr. (Supervisor)
AWC/2010022872001

Jason Forsythe Jacobs
AWC/2010022262601

James Spottswood Gibson
AWC/2009019827801

Robert Laurence Cochran
AWC/2009018883101

Ameriprise Financial Services, Inc.
AWC/2008013648002

Earnest Flowers III
OS/2009016956601

John Milton Rose
AWC/2010022089101

Donna Marlene DiMaggio
AWC/2009018193801

Joseph Jeffrey Mattia (Supervisor)
OS/2008016120501

Leslie David Kruse
AWC/2009020491201

Stuart Gregory Burchard (Principal)
OS/2008011656401