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.
Jonathan Stuart Solonche
Solonche willfully failed to update his Form U4 to disclose material information.
Jonathan Stuart Solonche: Fined $5,000; Suspended 18 months
Robin Lynn McKenny
Associated Person McKenny willfully failed to disclose material information on a firm employment application.
Robin Lynn McKenny: Fined $5,000; Suspended 18 months
Associated Person Andujar failed to respond to FINRA requests for information. Andujar willfully failed to disclose material information on his Uniform Application for Securities Industry Registration or Transfer (Form U4).
Alexander Andujar: Barred
Amanda Michelle Fleites
Fleites willfully failed to disclose material information on her Form U4, and failed to respond to FINRA request for information.
Amanda Michelle Fleites: Barred
Joshua William Moss
Associated Person Moss willfully failed to disclose material facts on his Form U4 and failed to respond to requests for information.
Joshua William Moss: Barred
Michael C. Metters
Metters willfully failed to amend his Form U4 to disclose material information.
Michael C. Metters: Fined $5,000; Suspended 90 days in all capacities.
Michael Gene Walker
Walker willfully failed to disclose material information on his Form U4.
Michael Gene Walker: Fined $5,000; Suspended 6 months in all capacities
Mitchell Ted Toland
Toland willfully failed to disclose material information on his Form U4.
Mitchell Ted Toland: Fined $5,000; Suspended 45 days
Scott Allan Shapiro
Shapiro caused his member firm to charge a $100 service fee to approximately 3,000 customers who had not been provided with prior written notice of the service fee. Shapiro willfully failed to amend his Form U4 and disclose material information on his Form U4. Shapiro failed to respond to FINRA requests for information.
Scott Allan Shapiro: Barred