Thomas Rodrigo Yost (CRD # 4202542, Registered Representative, Odenton, Maryland) 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 Yost’s reassociation with a FINRA member firm following his [...]

James Byongmin Yim (CRD # 3137645, Registered Representative, Sparks, Nevada) was barred from association with any FINRA member in any capacity and ordered to pay $414,000 in restitution to a public customer. The sanctions were based on findings that Yim submitted requests to his member firm, which public customers purportedly signed, requesting the transfer of [...]

Giovi Rogelio Ulloa (CRD # 4579872, Registered Representative, Fairview, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Ulloa failed to appear for a FINRA on-the-record interview. (FINRA Case # 2007007253801)We take cases on a purely contingency fee basis against brokerage firms who employ [...]

Erica Latishia Tolbert (CRD # 5109478, Associated Person, Atlanta, Georgia) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Tolbert ordered checks for a public customers’ account using her personal address as the delivery address and either negotiated checks or caused checks totaling $12,200 to be [...]

Mark Elliott Taylor (CRD # 4077014, Registered Representative, Purlear, North Carolina) 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, Taylor consented to the described sanction and to the entry of findings that he converted a [...]

Mark Richard Sommers (CRD # 430582, Registered Representative, Cedar, Michigan) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for six months. In light of Sommers’ financial status, no monetary sanction has been imposed. Without admitting or denying the findings, Sommers consented [...]

Stephen Matthew Sirianni (CRD # 715867, Registered Representative, Wausau, Wisconsin) submitted an Offer of Settlement in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Sirianni’s reassociation with a FINRA member firm following his suspension, or prior [...]

Mark Ted Skowron (CRD # 4712871, Registered Representative, Streamwood, 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 two years. The fine must be paid either immediately upon Skowron’s reassociation with a FINRA member firm following his [...]

Peter Schmitt Jr. (CRD # 1708137, Registered Representative, Plymouth, Wisconsin) 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, Schmitt consented to the described sanction and to the entry of findings that while he was the [...]

Mark Anthony Sanicki (CRD # 4860196, Registered Representative, Wayne, 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 nine months. The fine must be paid either immediately upon Sanicki’s reassociation with a FINRA member firm following [...]

Raquel Mae Sabando Sanchez (CRD # 4795168, Registered Principal, Miami, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Sanchez failed to appear for FINRA on-the-record interviews. (FINRA Case # 2007007253802)
We take cases on a purely contingency fee basis against brokerage firms who employ brokers [...]

David Michael Rozzano (CRD # 2027455, Registered Principal, Syracuse, 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, Rozzano consented to the described sanction and to the entry of findings that he misappropriated approximately [...]

Allan Bruce Rosenthal (CRD # 2252495, Registered Representative, Columbus, 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, Rosenthal consented to the described sanction and to the entry of findings that he effected unauthorized [...]

Andre Ryan Roman (CRD # 4703018, Registered Representative, Fredericksburg, Virginia) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Roman failed to respond to FINRA requests for information. The findings stated that Roman signed a public customer’s name on a switch authorization form without the customer’s [...]

Melvin Ray (CRD # 5122930, Associated Person, Tamarac, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 45 business days. In light of Ray’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Ray consented to [...]

Quay Allison Pund (CRD # 4202236, Associated Person, Old Monroe, Missouri) 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, Pund consented to the described sanction and to the entry of findings that she converted $29,193.21 [...]

James Mintz Provo (CRD # 1995147, Registered Principal, Camden-Wyoming, Delaware) 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 Provo’s reassociation with a FINRA member firm following his [...]

Leland Anthony Patin (CRD # 1466597, Registered Representative, Dallas, Texas) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Patin failed to respond to FINRA requests to provide on-the-record testimony. (FINRA Case # 2006006789001)
We take cases on a purely contingency fee basis against brokerage firms who [...]

Tony James Parker (CRD # 5262801, Associated Person, Bowling Green, Kentucky) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Parker failed to respond to FINRA requests for information. The findings stated that Parker willfully failed to disclose a material fact on his Form U4. (FINRA [...]

Kenneth Rik Osmer (CRD # 5194984, Registered Representative, Villa Park, 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 60 days. The fine must be paid either immediately upon Osmer’s reassociation with a FINRA member firm following [...]

Farhang Oshidary (CRD # 1545176, Registered Representative, Sunnyvale, California) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for four months. In light of Oshidary’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Oshidary consented to the [...]

Christopher Daniel Nowak (CRD # 4024458, Registered Representative, Lincoln, Rhode Island) 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, Novak consented to the described sanction and to the entry of findings that he forged his [...]

Paul Andrew Niess (CRD # 2157145, Registered Representative, Bartlett, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Niess participated in private securities transactions without prior written notice to, or written approval from, his member firm. The findings stated that Niess borrowed $405,000 from public [...]

Manuel Raul Montanez (CRD # 4525405, Registered Representative, Duarte, 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 three months. The fine must be paid either immediately upon Montanez’ reassociation with a FINRA member firm following his [...]

Dina Mistry (CRD # 5332701, Associated Person, Lake Hiawatha, New Jersey) 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 capacity for six months. The fine must be paid either immediately upon Mistry’s reassociation with a FINRA member firm following [...]

Rafael Luis Marte (CRD # 4304158, Registered Principal, Bronx, 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 a Limited Principal — Financial and Operations capacity for 20 business days. The fine must be paid either immediately upon Marte’s [...]

Warren Elroy Lystrup (CRD # 1787059, Registered Representative, Goodyear, Arizona) 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, Lystrup consented to the described sanctions and to the entry of [...]

Vicente Demetrius Lopez (CRD # 2216550, Registered Representative, East Orange, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Lopez failed to respond to FINRA requests for documents and information. The findings stated that Lopez improperly borrowed $22,000 from a public customer and reported [...]

Jose E. Llopiz Feliciano (CRD # 5315653, Associated Person, 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 three months. The fine must be paid either immediately upon Feliciano’s reassociation with a FINRA member firm following [...]

Mitchell Scott Kenvin (CRD # 2251552, Registered Representative, Plano, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 18 months. The fine must be paid either immediately upon Kenvin’s reassociation with a FINRA member firm following his [...]

David Allen Kecskes (CRD # 1938745, Registered Representative, Lawrenceburg, Indiana) 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 five business days. Without admitting or denying the findings, Kecskes consented to the described sanctions and to the entry [...]

William Edward Kassar Jr. (CRD # 2245223, Registered Principal, Lattingtown, New York) submitted an Offer of Settlement in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for 30 days. The fine must be paid either immediately upon Kassar’s reassociation with a FINRA member firm following his suspension, [...]

John Tawfik Iskander (CRD # 3203895, Registered Representative, Dayton, 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 six months. The fine must be paid either immediately upon Iskander’s reassociation with a FINRA member firm following [...]

Charlene Chong Ingram (CRD # 4876128, Registered Representative, Chesapeake, Virginia) 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 capacity for three months. The fine must be paid either immediately upon Ingram’s reassociation with a FINRA member firm following her [...]

Thomas Charles Helbig (CRD # 1039534, Registered Representative, Carnegie, Pennsylvania) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Helbig misused a public customer’s funds by causing the unauthorized transfer of $10,000 from a customer’s annuity to a bank account Helbig owned, thereby commingling the customer’s [...]

Vivian Veryle Gwin (CRD # 4228943, Registered Representative, Bismarck, North Dakota) 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, Gwin consented to the described sanction and to the entry of findings that she participated in [...]

Brian Berkowicz (CRD No. 4787371) were permanently barred from the securities industry. Broker John Webberly (CRD No. 4537337) was suspended. No monetary sanctions were imposed against Webberly due to his demonstrated inability to pay.
“These are FINRA’s first enforcement actions arising from our ongoing investigations into abuses in the marketing and sales of mortgage-backed securities such [...]

Cindy Schwartz (CRD No. 4649760) was permanently barred from the securities industry. Broker John Webberly (CRD No. 4537337) was suspended. No monetary sanctions were imposed against Webberly due to his demonstrated inability to pay.
“These are FINRA’s first enforcement actions arising from our ongoing investigations into abuses in the marketing and sales of mortgage-backed securities such as [...]

Michael Anthony White (CRD # 1281593, Registered Representative, Texarkana, Arkansas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $20,000 and suspended from association with any FINRA member in any capacity for one year. Without admitting or denying the findings, White consented to the described sanctions and to the entry of [...]

William Howard Webster (CRD # 1086031, Registered Principal, Leawood, Kansas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any principal capacity for two years and suspended from association with any FINRA member in any capacity for 30 days. Without admitting or [...]

Benjamin Theodore Watts (CRD # 1102629, Registered Representative, Union, Maine) 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, Watts consented to the described sanction and to the entry of findings that he borrowed $30,000 from [...]

Dennis John Voris (CRD # 455800, Registered Representative, Hobart, Indiana) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 30 days. In light of Voris’ financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Voris consented [...]

Stephen Mark Visser (CRD # 3023343, Registered Principal, Naperville, Illinois) submitted an Offer of Settlement in which he was fined $7,500, suspended from association with any FINRA member in any capacity for one month and required to requalify by exam as a general securities representative. Without admitting or denying the allegations, Visser consented to the [...]

Shane Michael Turner (CRD # 4639366, Registered Representative, Boise, Idaho) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Turner received $20,000 from a public customer to be placed in a real estate investment trust, but placed the funds in his personal firm account and used [...]

James Edward Tuckett (CRD # 1002182, Registered Representative, Leawood, Kansas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 10 business days. The fine must be paid either immediately upon Tuckett’s reassociation with a FINRA member firm following [...]

Christopher Scott Swiecicki (CRD # 5121489, Registered Representative, Chesterfield, Missouri) 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 Swiecicki’s reassociation with a FINRA member firm following his [...]

Amy Lou Styer (CRD # 2422127, Registered Representative, Birdsboro, Pennsylvania) 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, Styer consented to the described sanction and to the entry of findings that she engaged in an [...]

Sharon Ann Stanley (CRD # 3235278, Registered Representative, Cape Girardeau, Missouri) 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 capacity for three months. The fine must be paid either immediately upon Stanley’s reassociation with a FINRA member firm following [...]

Gregory A. Smarr (CRD # 4305025, Registered Principal, Atlanta, Georgia) 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 eight months. The fine must be paid either immediately upon Smarr’s reassociation with a FINRA member firm following his [...]

Shane Alexander Selewach (CRD # 2936484, Registered Principal, Hyannis, Massachusetts) was barred from association with any FINRA member in any capacity and required to pay $80,000, plus interest, in restitution to public customers. The sanctions were based on findings that Selewach misused the customers’ funds by depositing $71,000 intended for investment purposes into an account [...]