|
Respondent/NASD Case #
|
Bar
|
Suspension
/d = calendar days
/bd = business days
/w = weeks
/m = months
/y = years
Note: suspensions are in "all " capacities unless otherwise
indicated
|
Monetary Sanctions
F = fine
D = disgorgement
DF = disgorgement included in fine
|
Addt'l Factors
XR = failed to provide info or appear for testimony
XF = No fine due to "financial status"
PS = also engaged in private securities transaction
|
|
cases
resulting in suspension but not bars
|
|
David Joseph Ashbaker (AWC/C8A030064/Oct 2003) |
|
10/bd |
$2,500 F |
|
|
John Michael Yates (AWC/C8A030048/August 2003) |
|
10/bd |
$2,500 F |
|
|
Ian-Max Henriquez (AWC/C02030035/August 2003) |
|
10/bd |
$7,500 F |
|
|
Michael Anthony Palermo, Sr. (AWC/C9B030007/May 2003)
|
|
10/bd
|
$2,500 F
|
|
Kaz Enayet Hossain
(AWC/C02030029/July 2003
|
|
10/bd
|
$3,000 F
|
|
Sri Haran
(AWC/C9B030033/July 2003)
|
|
10/bd
|
$5,000 F
|
Referred clients to another firm for investment advisory services in
exchange for referral fee
|
|
Douglas Royce Cochrane (AWC/C07030040/August
2003) |
|
15/bd |
$5,000 F |
|
|
Mauro Jose Padilla (AWC/C06030020/November 2003) |
|
1/m |
$5,000 F |
|
Anthony William Allen
(AWC/C8B030013/August 2003) |
|
30/d |
$5,000 F |
|
Ira Leslie Aguado
(AWC/C10030019 May
2003)
|
|
30/d
|
$10,000 F
|
|
|
LuVerne Aloys Meyer (AWC/C04030018/May
2003)
|
|
30/d
|
$21,065.05 F
$16,065.05 DF
|
|
|
Lee Edward Goldner (OS/C8A030018/December 2003)
|
|
30/d
|
$12,293 F
$9,793 DF
|
|
|
Abraham Salzberg (AWC/C10030084/December 2003)
|
|
45/d
|
$3,500 F
|
|
|
Albert Lee Rosebush (AWC/C8A030053/August
2003) |
|
6/w |
$7,500 F |
|
|
Joseph Sirilla, Jr. (AWC/C8B030007/May
2003)
|
|
60/d
|
$20,020 F
$!7,520 DF
|
|
Stephen Ralph Kittelson
(AWC/C04030029/July 2003)
|
|
60/d
|
$7,500
|
Undisclosed settlement with public customer.
|
|
Leroy Avery (C8A020032/ May 2003)
|
|
90/d
|
$28,559 F
$28,559 DF
|
PS
|
Roger John Cawiezell (OS/C07020083 March
2003)
|
|
90/d
|
$45,000 F
$39,900 DF
|
Also failed to submit an amended OB form to member firm
|
|
Michael Donovan Puls (AWC/C04030020/June 2003)
|
|
3/m
|
$2,500 F
|
|
James Milton Seltzer (AWC/C3B030003 March
2003)
|
|
3/m
|
|
No fine due to "financial status"
|
Anthony Galeotafiore
Francis Louis Smookler, Jr.
Mark David Pellettieri
(OS/CLI020006/April 2003)
|
|
3/m
|
Each $5,000 F
Joint/Several $250,150 D
|
All PS
|
Kent David Schuette
(AWC/C8A030040/July 2003)
|
|
3/m
|
$5,000 F
$39,485 D
|
|
Alonso Martin Martinez (OS/C05020052 March
2003)
|
|
4/m
|
$60,000 F
$55,316.88 DF
|
|
Martin Owen McCann, IV
(OS/C01030002/Sept 2002) |
|
5/m |
$38,841.21 F |
|
Stephen Joseph Drunasky
(OS/C8A030042/Oct 2003) |
|
6/m |
|
|
|
David Weenam Chinn (OS/C01030003/August 2003) |
|
6/m |
$39,785 F
|
|
|
James Stanley Freeman (AWC/C01030006/April 2003)
|
|
6/m
|
$15,250 F
$10,250 DF
|
PS
|
|
Willard Grant Johnson (OS/C8A020078 April 2003)
|
|
6/m
|
No fine per financial status
|
Sold pay phone leases.
|
Randal Lee Cade (AWC/C05030006 March
2003)
|
|
6/m
|
$53,400 F
$43, 400 DF
|
|
|
Hugh Charles Robinson (AWC/C9A030007 April
2003)
|
|
6/m
|
No fine per financial status
|
|
Douglas John Hershey
and
Claude William Johnson III (AWC/C07030022/June 2003)
|
|
12/m
|
Each fined $55,000 ($110,000 total)
$102,105 DF
|
|
|
John Murk
Lockman, Jr. (AWC/C07030058/Oct
2003) |
|
1/y |
$10,000 F
|
PS |
Dennis Leyman Siers (AWC/C8B030002 March
2003)
|
|
1/y
|
$65,000
|
|
|
Gary Donald Cowell (AWC/C9A030004/April 2003)
|
|
1/y
|
$25,000 F
$47,550 D
|
PS
|
|
Daniel A Kyman (OS/C3A020054 April 2003)
|
|
18/m
|
$5,000 F
|
|
|
Mark David Romano (AWC/C02030005 April 2003)
|
|
18/m
|
$27,315 F
$22,315 DF
|
|
Paul Clifford Wentzlaff
(AWAC/C04030048/Oct 2003) |
|
2/y |
$5,000 F |
|
|
cases
resulting bars
|
|
William Gordon Hoover, Jr. (AWC/C3A030043/December 2003) |
X |
|
|
PS; Failed to disclose material facts on U4; failed to respond to requests
for information
|
|
Mark Gregory Steffan (AWC/C01030028/November 2003) |
X |
|
|
|
|
Kathleen
Whorley Sommer (AWC/C3A030009/Oct 2003) |
X |
|
$22,500
D in commissions earned in partial restitution to public customer
|
XR (appeared but failed to answer at OTR) |
|
Ramzi J.
Sarkis (AWC/C11030032/Oct 2003) |
X |
|
|
XR |
John Joseph DePrimo
(AWC/C9A030028/Oct 2003) |
X |
|
$46,480 D commissions in partial restitution to public customers.
|
|
Glenn Daniel Bone, III
(C8A030022/Oct 2003) |
X |
|
|
Forged principal's name on new account form; distributed unapproved
advertising; XR |
Austin Charles Cogswell
(AWC/C07030052/Sept 2003) |
X |
|
|
PS |
|
Joseph Anthony Watters (OS/C9A030005/August 2003) |
X |
|
|
XR |
|
Michael Allen Loween (AWC/C3B030009/August
2003) |
X |
|
|
PS |
|
Douglas Paul Dillmann (C8A030006/August 2003) |
X |
|
|
XR |
Terrance Gary Buyze
(AWC/C8A030054/August 2003) |
X |
|
|
PS; XR |
|
Michael Murray Scott (OS/C06020022/June 2003)
|
X
|
|
|
XR
|
Jason Lee Kibbee (AWC/C04030004 March 2003)
|
X
|
|
|
XR
|
Dwight Alexander Foster (AWC/C8A30008 March
2003)
|
X
|
|
|
XR
|
Azizollah Halimi (OS/C10020107 March 2003)
|
X
|
|
|
XR
|
|
Louis Patrick Arena (AWC/C9B030003 March 2003)
|
X
|
|
|
Converted $24,992 from an employer company checking account
|
|
Allen Douglas Ray, Jr. (AWC/C07030013 April
2003)
|
X
|
|
|
XR
|
David Ronald Krizman
(OS/C3A030010/July 2003)
|
X
|
|
$51,407.35 D
|
XR
|
|
|
|
|
|
|
