|
Respondent/NASD Case #
|
Bar
|
Suspension
/bd = business days
/m = months
/y = years
Note: suspensions are in "all " capacities unless otherwise
indicated
|
Monetary Sanctions
F = fine
D = disgorgement
DF = disgorgement included in fine
R = restitution
XF = No fine due to "financial status"
|
Addt'l Factors
XR = failed to provide info or appear for testimony
OB = also engaged in outside business activities
|
|
cases
resulting in suspension but not bars
|
C. Mark Ostrowski (AWC/C9A030001/March
2003)
|
|
15/bd
|
$5,000 F
$2.900.85 D
|
|
|
David Earl
Peterson (AWC/C02030051/Oct
2003) |
|
20/bd |
$5,000 F |
Peterson
failed to
supervise a registered representative |
|
James Nelson
Gould (AWC/C02030052/Oct
2003) |
|
20/bd |
$5,000
F |
Gould failed to supervise an individual engaged
in fraudulent private
securities
transactions |
|
Thomasina Michalik (AWC/CLI030015/August
2003) |
|
20/bd |
$5,000 F |
|
|
Robert D’Agosta (AWC/C02030050/Oct 2003)
|
|
30/d
|
$5,000 F
|
|
|
Michael G. Kamrath (AWC/C02030056/November 2003)
|
|
30/bd
|
$7,500 F
|
|
|
Homer Lynn Gary Baird, Jr. (AWC/C05030013/May
2003)
|
|
30/d
|
$5,000 F
|
|
|
Craig Stuart Balsam (AWC/C10030025/June
2003)
|
|
30/d
|
$5,000 F
|
|
|
Lorraine Henry Geiss (AWC/C8A030023/May
2003)
|
|
30/d
|
$5,000 F
|
|
|
Scott Bradley Hollenbeck (AWC/C07030021/June
2003)
|
|
30/d
|
$5,000 F
|
|
|
Gregory Raymond Anderson (OS/C8A020061/May
2003)
|
|
1/m
|
$2,500 F
|
|
|
Robert Theodore Milley, II (AWC/C9A030035/December 2003)
|
|
60/d
|
$10,000 F
|
|
|
Anthony Charles Fricano (AWC/C8A030011/April 2003)
|
|
2/m
|
$5,950 F
$950 DF
|
|
|
Edward Douglas Shanklin,Jr. (AWC/C05030033/August 2003) |
|
8/w |
XF |
|
|
Todd Christopher Sunday (AWC/C8B030024/December 2003) |
|
8/w |
$5,000 F
$5,250 D |
|
|
Vincent John Gallo (AWC/C07030044/August 2003) |
|
90/d |
$17,500 F
$11,672.21 DF |
|
|
Leroy Avery (C8A020032/ May 2003)
|
|
90/d
|
$28,559 F
$28,559 DF
|
OB
|
|
Janice Poland
Tanno (AWC/C8B030017/Oct
2003)
|
|
3/m |
XF |
|
|
Richard Craig
Niece (AWC/C3B030013/Oct
2003)
|
|
3/m |
$10,000 F |
|
|
David Paul Folino (AWC/C06030006/June
2003)
|
|
3/m
|
$5,000 F
$17, 250 D
|
|
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 OB
|
James Milton Seltzer (AWC/C3B030003/March
2003)
|
|
3/m
|
XF
|
|
|
Alan Robert Blumel (AWC/C3A030006/April 2003)
|
|
3/m
|
$10,912.50 F
$3,412.50 DF
|
|
|
Edward Douglas Shanklin,Jr. (AWC/C05030033/August 2003) |
|
8/w |
XF |
|
|
Robert Alan Brannon (AWC/C3B030010/August 2003) |
|
4/m |
XF |
|
Alonso Martin Martinez (OS/C05020052/March
2003)
|
|
4/m
|
$60,000 F
$55,316.88 DF
|
|
Robert James Hudson, Jr. (AWC/C11030001/March
2003)
|
|
5/m
|
$5,000 F
$90,000 D
|
XR
|
|
John William West (AWC/C8B030019/November 2003) |
|
6/m |
$5,000 F |
|
|
Steven Dean
Yarn (AWC/C9A030027/Oct
2003) |
|
6/m |
$10,000 F
$120,000 R |
|
|
Michael Court Scanlon (AWC/C8B030011/August
2003) |
|
6/m |
$5,000 F |
|
|
David Lee Pearlman (AWC/C8A030050/August
2003) |
|
6/m |
$10,000 f |
|
|
James Stanley Freeman (AWC/C01030006/April 2003)
|
|
6/m
|
$15,250 F
$10,250 DF
|
OB
|
|
Timothy John Sherer (OS/C01020011/April 2003)
|
|
6/m
|
|
|
|
Young Min Kim (C02020014/March 2003)
|
|
7/m
|
$113,687.50 F
|
Requalify as principal and representative
|
James Oscar Green (AWC/C05030002/March
2003)
|
|
8/m
|
XF
|
Also unsuitable variable annuity transactions
|
|
Miguel Angel Martinez, Sr. (AWC/C10030026/June
2003)
|
|
9/m
|
$10,000 F
|
|
|
John Murk
Lockman, Jr. (AWC/C07030058/Oct
2003) |
|
1/y |
$10,000 F
|
OB |
Dennis Leyman Siers (AWC/C8B030002/March
2003)
|
|
1/y
|
$65,000 D
|
|
|
Gary Donald Cowell (AWC/C9A030004/April 2003)
|
|
1/y
|
$25,000 F
$47,550 D
|
OB
|
|
Phiolip Peter Mrcucci, Sr. (OS/C9A030020/November 2003)
|
|
15/m
|
$75,000 F
|
|
|
Paul Wilson Gillis, Jr. (AWC/C02030063/November 2003)
|
|
18/m
|
$57,593 F
|
|
|
Greer Alan Kendall (AWC/C06030003/April 2003)
|
|
18/m
|
$10,000 F
|
|
|
Edward Leoncio Mesa (AWC/C07030008/April 2003)
|
|
18/m
|
$7,500 F
$85,200 D
|
|
|
David Carroll Loach (AWC/C3A030016/July 2003)
|
|
18/m
|
$7,500 F
|
|
|
Jesse Jackson Bradin (AWC/C11030028/Oct
2003)
|
|
2/y
|
$5,000 F
$70,300 D (commissions) plus partial restitution plus interest to customers
|
|
|
cases
resulting bars
|
|
Robert William Jenkins (AWC/C8A030076/December 2003) |
X |
|
|
Provided forged documents to NASD; failed to respond to requests for
information
|
|
William Gordon Hoover, Jr. (AWC/C3A030043/December 2003) |
X |
|
|
OB; Failed to disclose material facts on U4; failed to respond to requests
for information
|
|
David Paul Vanderzee (AWC/C11030033/November 2003) |
X |
|
|
|
|
Brian James Clark (C9B020052/November 2003) |
X |
|
|
Submitted U4 with false information. |
|
Anthony Harold Barkate (C02010041/November 2003 --- On appeal to SEC ) |
X |
|
|
Barkate did not give prior written notice to his member firm |
|
Bruce Lynn Troyer (AWC/C04030049/Oct 2003) |
X |
|
$5,000 F $87,250 R |
Troyer received $28,000 in checks from customers to be invested, but
deposited them into an account under his control; and received a
$5,000 check from a representative on behalf of a public customer to be
invested,which he also deposited into his own account ( then held the
funds and later nvested) |
|
John Battista
Sacco (AWC/C10030005/Oct 2003) |
X |
|
$10,000
R |
Also induced a customer to invest $10,000 in securities and made
misrepresentations and omissions of material fact regarding the company’s
ownership and pending public offerings of stock; XR |
Richard Leroy
Harden
(AWC/C11030029/Oct 2003) |
X |
|
$1,448,041 R |
XR |
Robert Thomas Bullock
(AWC/C11030029/Oct 2003) |
X |
|
XF
|
Sent false and misleading statements to customer; made written/verbal
misstatements in connection with offer and sale to customer; and received
$50,000 from customer for investment bu deposited it into a company Bullock
partially owned
|
Gloster Knox Sonia
(C05030007/Sept 2003) |
X |
|
|
|
Austin Charles Cogswell
(AWC/C07030052/Sept 2003) |
X |
|
|
OB |
|
Michael Allen Loween (AWC/C3B030009/August
2003) |
X |
|
|
OB |
Terrance Gary Buyze
(AWC/C8A030054/August 2003) |
X |
|
|
OB; XR |
|
Emmett Maurice Abercrombie (OS/C07030020/August
2003) |
X |
|
|
Also intentionally failed to disclose to firm sales of units in a private
placement. |
|
William John Henderson, III (AWC/C11030015/June 2003)
|
X
|
|
|
|
|
John Oliver Edwards (OS/C3A020029/June
2003)
|
X
|
|
|
|
Andrew Savvas Constantinou (AWC/C11030004/March
2003)
|
X
|
|
$297,250 D
|
Also made improper use of customer funds; used $106,000 in charitable
remainder trust funds for the purchase of his residence; and opened account
at another BD without required disclosures. XR
|
|
Stephen Earl Prout (C07020061/March 2003)
|
X
|
|
|
XR
|
|
Edmund Joseph Menden (C04020025/March 2003)
|
X
|
|
|
XR
|
Jason Lee Kibbee (AWC/C04030004/March
2003)
|
X
|
|
|
XR
|
Richard Vincent Coyer (C02020039/March 2003)
|
X
|
|
|
XR
|
|
Orlan Kenneth Boyd, Jr. (AWC/C04030002/March
2003)
|
X
|
|
$80,974.42 D
|
Engaged in securities transactions w/o being properly registered
|
|
Jacques Manlio Chrysoschoos (AWC/C07030011/April 2003)
|
X
|
|
|
|
|
Howard Scott Ismark (C07020070/April 2003)
|
X
|
|
$3,518.64 D
|
Also unauthorized trading; XR
|
|
Anthony Benjamin Phillips (OS/C8A020089/April 2003)
|
X
|
|
|
XR
|
|
Frederick Stratton Sundin (AWC/C11030006/April 2003)
|
X
|
|
$58,551.02 D
|
Suitability violation in recommending a $55,551.02 purchase by
customer of limited partnership interest
|
|
Jeffrey Michael Kirschner (AWC/C02030019/May
2003)
|
X
|
|
|
|
|
Richard Lynn Pugh (OS/C3A030003/May
2003)
|
X
|
|
|
XR
|
|
Darrell Todd Gibson (C06020024/July 2003)
|
X
|
|
|
XR; Recommended unsuitable purchase of a promissory note; sole securities
without being properly registered with NASD;
|
|
|
|
|
|
|
