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 or denying the allegations, Centeno and Santohigashi consented to the described sanctions and to the entry of findings that they sold unregistered shares of a thinly traded penny stock quoted on the Pink Sheets on public customers’ behalf, and failed to determine whether the securities were registered or were going to be sold in transactions exempt from the registration requirements of Section 5 of the Securities Act of 1933.   (FINRA Case # 2005000075703)

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