Donald William Dormeier (CRD # 70557, Registered Supervisor, Fort Wayne, Indiana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. The fine must be paid either immediately upon Dormeier’s reassociation with a FINRA member firm [...]

Brent Keith Deviney (CRD # 2131402, Registered Representative, West Palm Beach, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for six months, with credit to be given for three months served, and the $5,000 fine paid in fulfillment of sanctions imposed by the State of Florida. The sanctions [...]

Richard C. Dergance Jr. (CRD # 4143798, Registered Representative, Las Vegas, Nevada) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any capacity for four months and ordered to disgorge $18,541, plus interest, in commissions as partial restitution to public customers. The [...]

Reynold Arthur Currier Jr. (CRD # 1307615, Registered Representative, Southport, North Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Currier’s reassociation with a FINRA member firm [...]

Jeffrey Ken Santohigashi (CRD # 4212326, Registered Representative, San Antonio, Texas) submitted Offers of Settlement in which Centeno was fined $10,000 and suspended from association with any FINRA member in any capacity for 30 days, Santohigashi was fined $10,000 and suspended from association with any FINRA member in any capacity for 20 days. Without admitting [...]

Benjamin Allan Centeno (CRD # 4213394, Registered Representative, Chino, California) and Jeffrey Ken Santohigashi (CRD # 4212326, Registered Representative, San Antonio, Texas) submitted Offers of Settlement in which Centeno was fined $10,000 and suspended from association with any FINRA member in any capacity for 30 days, Santohigashi was fined $10,000 and suspended from association with [...]

William Brian Butler (CRD # 1554307, Registered Representative, Baldwin, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $5,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Butler’s reassociation with a FINRA member firm [...]

Steven Ernest Bryant (CRD # 1620470, Registered Principal, Pompano Beach, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Bryant operated an unregistered securities dealer in violation of Section 15(a)(1) of the Securities Exchange Act. The findings stated that Bryant failed to respond to a [...]

Glenn Ferrell Bruce Jr. (CRD # 4598002, Registered Representative, Dunn, North Carolina) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the allegations, Bruce consented to the described sanctions and to the entry of findings [...]

Frederick Ingwert Braren Jr. (CRD # 4915850, Registered Representative, Ponte Vedra Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one year. The fine must be paid either immediately upon Braren’s reassociation with a FINRA member [...]

Philip James Atteberry (CRD # 1243495, Registered Principal, BatonRouge, Louisiana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 90 days. The fine must be paid either immediately upon Atteberry’s reassociation with a FINRA member firm following his [...]

Marcelo L. Assis (CRD # 5137579, Associated Person, Pickerington, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Assis consented to the described sanction and to the entry of findings that he used information obtained [...]

Jeffrey Steven Adler (CRD # 1102075, Registered Representative, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. The fine must be paid either immediately upon Adler’s reassociation with a FINRA member firm following [...]

Jess Gove Tucker III (CRD # 450126, Registered Principal, Lakeland, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $125,000, jointly and severally with Tucker, and required to have all of its personnel register for 16 hours of anti-money laundering (AML) training within 60 days of issuance of [...]

Luke St. James Youngblood (CRD # 5246072, Associated Person, Milford Connecticut) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $4,000 and suspended from association with any FINRA member in any capacity for five months. The fine is must be paid either immediately upon Youngblood’s reassociation with a FINRA member firm [...]

Scott Howard Weissman (CRD # 2664118, Registered Representative, Miami, Florida) was barred from association with any FINRA member in any capacity and ordered to pay $16,000, plus interest, in restitution to a public customer. The sanctions were based on findings that Weissman transferred $30,000 from a customer’s securities account to the bank account of a [...]

Ike Joseph Talbot (CRD # 1695719, Registered Representative, Lake Jackson, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Talbot consented to the described sanction and to the entry of findings that he borrowed $87,500 [...]

Robert Martin Sweeney III (CRD # 3198872, Registered Representative, Archbald, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. The fine must be paid either immediately upon Sweeney’s reassociation with a FINRA member firm following [...]

Jeffrey Steve Stephan (CRD # 862599, Associated Person, Valparaiso, Indiana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one year. The fine must be paid either immediately upon Stephan’s reassociation with a FINRA member firm following his [...]

Dale Eugene Shields II (CRD # 5101892, Associated Person, Middletown, Ohio) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the allegations, Shields consented to the described sanctions and to the entry of findings [...]

Philip Paul Rusnak (CRD # 1030407, Registered Representative, Columbia, South Carolina) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 days. Without admitting or denying the findings, Rusnak consented to the described sanctions and to the entry [...]

Robert James Roesch Jr. (CRD # 4233031, Registered Representative, Red Bank, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for three months. The fine must be paid either immediately upon Roesch’s reassociation with a FINRA member [...]

Wayne Allen Ritenour Jr. (CRD # 3206373, Registered Principal, Niceville, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ritenour consented to the described sanction and to the entry of findings that he engaged in [...]

Jeffrey Scott Ramson (CRD # 1574903, Registered Principal, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 60 days. The fine must be paid either immediately upon Ramson’s reassociation with a FINRA member firm [...]

Francie Bea Rachal (CRD # 2039587, Registered Principal, Murphy,Texas) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any principal capacity for 10 business days. Without admitting or denying the findings, Rachal consented to the described sanctions and to the entry [...]

Terrance Reid Pipenhagen (CRD # 716645, Registered Principal, Orlando, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Pipenhagen consented to the described sanction and to the entry of findings that he solicited individuals to [...]

Robert John Parker (CRD # 1070201, Registered Representative, Mullica Hill, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Parker consented to the described sanction and to the entry of findings that he received [...]

Oscar Donald Overbey Jr. (CRD # 2066217, Registered Representative, Evanston, Illinois) was barred from association with any FINRA member in any capacity and required to pay $50,000, plus interest, in restitution to a public customer. The sanctions were based on findings that Overbey failed to respond to FINRA requests for information. The findings stated that [...]

Charles Robert Murdough (CRD # 2437321, Registered Representative, Buffalo, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Murdough failed to respond to FINRA requests for information. The findings stated that Murdough borrowed $25,000 from a public customer, contrary to his member firm’s policy [...]

John Edward Mulligan (CRD # 1260708, Registered Supervisor, Sarasota, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon Mulligan’s reassociation with a FINRA member firm following his [...]

Miguel Angel Molina (CRD # 4187160, Registered Representative, Salt Lake City, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Molina consented to the described sanction and to the entry of findings that he received [...]

David Wu (CRD # 726970, Registered Representative, San Francisco, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings, Wu consented to the described sanctions and to the entry [...]

Steven Wood (CRD # 3073759, Registered Supervisor, Encino, California) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wood consented to the described sanction and to the entry of findings that he failed to respond to [...]

Joshua Caine Wimberley (CRD # 4536480, Registered Representative, Houston, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Wimberley consented to the described sanction and to the entry of findings that he received checks totaling [...]

James Douglas Walker (CRD # 1446801, Registered Representative, Phoenix, Arizona) submitted an Offer of Settlement in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Walker’s reassociation with a FINRA member firm following his suspension, or prior [...]

Aurora Javier Tucay (CRD # 5306540, Associated Person, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Tucay withdrew $8,000 from her cash drawer and the vault at her member firm’s bank affiliate without permission, and used the funds for her own purposes. The [...]

Darrin Michael Marion (CRD # 3262749, Registered Representative, Indianapolis, Indiana) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Marion consented to the described sanction and to the entry of findings that he willfully failed to [...]

Dale Eugene Shields II (CRD # 5101892, Associated Person, Middletown, Ohio) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the allegations, Shields consented to the described sanctions and to the entry of findings [...]

Walter Alan Sayers (CRD # 5228083, Associated Person, Tampa, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. The fine must be paid either immediately upon Sayers’ reassociation with a FINRA member firm following his [...]

Alice May Rice (CRD # 2429664, Registered Representative, Fairmont, West Virginia) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Rice consented to the described sanction and to the entry of findings that she received $100,000 [...]

John Michael Repine (CRD # 1010844, Registered Principal, Spring Hill, Kansas) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Repine engaged in deceptive market timing by assisting hedge funds in circumventing restrictions that mutual fund companies imposed. The findings stated that Repine failed to respond [...]

Franklin Brent Porter (CRD # 829580, Registered Representative, Salt Lake City, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $2,500 and suspended from association with any FINRA member in any capacity for 10 business days. The fine must be paid either immediately upon Porter’s reassociation with a FINRA member [...]

Kevin Troy Litterell (CRD # 1859910, Registered Representative, Wenatchee, Washington) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Litterell failed to respond to FINRA requests for information. The findings stated that Litterell failed to timely amend his Form U4 with material information. (FINRA Case # [...]

Richard Steven Petrell (CRD # 715635, Registered Representative, Jamesville, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Petrell consented to the described sanction and to the entry of findings that he obtained over [...]

Paul Douglas Paratore (CRD # 2054004, Registered Representative, Webster, New York) was barred from association with any FINRA member in any capacity. The NAC imposed the sanction following appeal of a Hearing Panel decision. The NAC imposed separate bars against Paratore for converting $3,772.71 of a public customer’s insurance premiums and settling four customer’s complaints [...]

Gregory Thomas Murray (CRD # 343607, Registered Principal, Scottsdale, Arizona) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Murray consented to the described sanction and to the entry of findings that he failed to appear to testify at [...]

Blair Christopher Mielke (CRD # 1878222, Registered Representative, Newburgh, Indiana) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended form association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Mielke consented to the described sanctions and to the entry of [...]

Malvinder Sonny Matharu (CRD # 2650655, Registered Supervisor, Redondo Beach, California) submitted an Offer of Settlement in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Matharu’s reassociation with a FINRA member firm following his suspension, or [...]

Eric W. Mason (CRD # 4637122, Registered Representative, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $175,000, which includes disgorgement of $157,832.58 in benefits received, and suspended from association with any FINRA member in any capacity for one year. Without admitting or denying the findings, Mason consented to [...]

Andrew John Mariani (CRD # 3254418, Registered Representative, Wellington, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Mariani consented to the described sanction and to the entry of findings that he knowingly conspired with [...]