Printer Friendly

Enforcement Actions
Financial Industry Regulatory Authority (FINRA)
PRIVATE SECURITIES TRANSACTIONS
2011
REFERENCE: NASD Conduct Rule 3030 | NASD Conduct Rule 3030 | NYSE Rule 346.
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.
Click here to view FINRA actions with all info on this page
December 2011
Jason Sean Harrison
AWC/2009018648901
November 2011
David Allen Peck
AWC/2009020645101
Krittibas Ray
AWC/2010023781701
Nathan Eugene Calhoun
AWC/2011026223401
Paul Leon White II
OS/2009017798201
October 2011
Frank Bianculli
AWC/2009016911202
Kathryn Ann Winter
AWC/2011026378701
September 2011
Audrey Dianne Cline
OS/2009017656901
James Leo Carroll
AWC/2009016911201
Scott J. Baklenko
AWC/2009019500401
William Charles Davis
AWC/2009018726501
August 2011
Priscilla G. Sabado
AWC/2010022394901
Ronald Dean Clark
AWC/2009018098601
Timothy D. Camarillo
OS/2010023612301
July 2011
Bart Chad Christensen
AWC/2009018990002
Jeffrey Garland Kelly
AWC/2010025192301
Kevin Todd Mehlman
AWC/2009018297901
June 2011
Daniel Scott Sheedy
OS/2008015180901
Scott William Coy
AWC/2009020923301
May 2011
Carl Henry Blanchard
AWC/2010021436501
Devon Coulin McLean
AWC/2009016806001
Irving Louis Adler
AWC/2010021436801
Mark Andrew Sibert
AWC/2009016845001
Penena Karpel McRoberts
AWC/2009017606101
Scott Jeffrey Adler
AWC/2010021436901
April 2011
Earnest Flowers III
OS/2009016956601
Gary Chew
AWC/2008014479002
Gifford Keith Jordon
AWC/2010024417101
March 2011
Adam Howard Markowitz
AWC/2009018550901
M. Paul De Vietien
2006007544401
Walter Wesley Watts
AWC/2008014930201
February 2011
Clark Alexander Reinhard
AWC/2010021577101
Richard G. Mailloux Sr.
AWC/2009017337801
Ronald George Spomer II
AWC/2009018497601
January 2011
Enforcement Actions
Search in Private Securities Transactions
Months
 
Private Securities Transactions Archive
FINRA
Pre-FINRA
Tags
It's All Over Now: My 42-year Wall Street Journey by Bill Singer, Esq.
January 30, 2024
Before my second career as a lawyer, I was the third generation of my family in the wine and liquor industry. In 1981, I started law school; and in 1982, I was hired as a law student in Smith Barney, Harris & Upham's Legal Department. After I graduated law school, I was a regulatory lawyer with the American Stock Exchange and then with the NASD (now... Read On
Please enter your email address below if you wish to subscribe to our mailing list.
Home | Contact | BrokeAndBroker Site | BrokeAndBroker Blog
© Copyright 1999-2024 RRBDLAW.com & BrokeAndBroker.com™ - All Rights Reserved.
Privacy Statement | Legal Notice | Cookies