Richard Paul Lynch (CRD # 1938604, Registered Principal, Chicago, Illinois) and George Ernest Reilly (CRD # 1523041, Registered Principal, Fox Lake, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which the firm, Lynch and Reilly were censured; the firm was fined $75,000, $15,000 of which was jointly and severally with Lynch and $20,000 [...]

Victor Gregory Grieco (CRD # 2632509, Registered Representative, Wellington, 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 10 business days. The fine must be paid either immediately upon Grieco’s reassociation with a FINRA member firm following [...]

Clark Alexander Reinhard (CRD #2224876, Registered Representative, Westfield, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 10 weeks. In light of Reinhard’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Reinhard consented to [...]

Brian Edward Sanders (CRD #2743309, Registered Principal, Wading River, New York) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $35,000. The firm was also fined $10,000, jointly and severally with Sanders. Arlt was fined $25,000 and suspended from association with any FINRA member in any principal capacity [...]

Lance Jeffrey Ziesemer (CRD # 2342087, Registered Supervisor, Waconia, Minnesota) 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 20 business days. Without admitting or denying the findings, Ziesemer consented to the described sanctions and to the entry [...]

Steven Edward Wisecarver (CRD # 3199948, Registered Representative, Herrin, Illinois) 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, Wisecarver consented to the described sanction and to the entry of findings that he submitted false documentation [...]

Edward Darell Williams (CRD # 5336232, Associated Person, Detroit, Michigan) submitted an Offer of Settlement in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 18 months. The fine must be paid either immediately upon Williams’ reassociation with a FINRA member firm following his suspension, or prior [...]

Derek Michael Whitley (CRD # 4854389, Registered Representative, Sierra Vista, Arizona) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Whitley misused $5,254.12 in insurance premiums he received from customers by failing to forward the funds to an insurance company or return the funds to the [...]

Brian Mark Wacik (CRD # 1667489, Registered Principal, Allentown, Pennsylvania) was barred from association with any FINRA member firm in any capacity, and ordered to pay $40,842.78, plus interest, in restitution to a public customer. The sanctions were based on findings that Wacik borrowed $45,000 from a public customer, contrary to his member firm’s policy [...]

Peter Edward Vallejo (CRD # 4086813, Registered Representative, Gilbert, Arizona) 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, Vallejo consented to the described sanction and to the entry of findings that he failed to respond [...]

Jeffrey Eugene Tipton (CRD # 3271659, Registered Representative, Fresno, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Tipton failed to appear for a FINRA on-the-record interview. The findings stated that Tipton engaged in an outside business activity, for compensation, without prompt written notice to [...]

Salvatore Anthony Tiano (CRD # 1867558, Registered Representative, Palm Beach Gardens, 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 20 business days. The fine must be paid either immediately upon Tiano’s reassociation with a FINRA member [...]

Yvonne Thomas (CRD # 1353826, Registered Representative, New York, New York) submitted an Offer of Settlement in which she was suspended from association with any FINRA member in any capacity for two years. In light of Thomas’ financial status, no monetary sanctions were imposed. Without admitting or denying the allegations, Thomas consented to the described [...]

Heidi Tabet-Goke (CRD # 4689196, Registered Representative, Albuquerque, New Mexico) was barred from association with any FINRA member in any capacity. The sanction was based on FINRA’s findings that Tabet-Goke misused $3,102 in insurance premiums that she received from public customers. The findings stated that the funds were to be applied to payment of insurance [...]

Jeffrey Michael Stebbins (CRD # 2575152, Registered Representative, Mesa, 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, Stebbins consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests [...]

Ruben Mariano Silva (CRD # 1272907, Registered Principal, Santa Rosa, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Silva received $5,302.40 from his insurance firm’s customers, deposited the funds into his general business account and wrote checks on his account to make insurance premium [...]

James Jay Robinson Jr. (CRD # 1579422, Registered Representative, Elgin, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Robinson failed to respond to FINRA requests for information. The findings stated that Robinson participated in private securities transactions without prior written notice to, and prior [...]

Miles Frederick Price (CRD # 1707468, Registered Principal, Little Rock, Arkansas) 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, Price consented to the described sanction and to the entry of findings that he exercised discretionary power in two [...]

David Randall Paul (CRD # 4438776, Registered Representative, Woodinville, Washington) 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. The fine must be paid either immediately upon Paul’s reassociation with a FINRA memberfirm following his suspension, [...]

Scott Louis Nazarino (CRD # 2323480, Registered Representative, Sammamish, Washington) submitted an Offer of Settlement in which he was fined $35,283.27, which includes disgorgement of $25,283.37 in commissions received, and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Nazarino’s reassociation with a [...]

Nancy Robyn Ziering (CRD # 2845746, Registered Representative, Chatham, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $60,000 (including disgorgement of $32,720 in commissions paid to her for unsuitable transactions) and suspended from association with any FINRA member in any capacity for nine months. The fine must be [...]

Shane David Mispel (CRD # 4497514, Registered Representative, Grand Isle, Vermont) 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. The fine must be paid either immediately upon Mispel’s reassociation with a FINRA member firm following [...]

Joseph Andrew Zaragoza Jr. (CRD # 2417735, Registered Representative, Chicago, Illinois) was barred from association with any FINRA member in any capacity. The NAC imposed the sanctions following appeal of a hearing panel decision. The sanction was based on findings that Zaragoza engaged in excessive trading in a public customer’s account that was inconsistent with [...]

John Gilbert Marshall Jr. (CRD # 2219233, Registered Representative, Mill Valley, California) 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 six months. Without admitting or denying the findings, Marshall consented to the described sanctions and to the [...]

Mary Ann Yzaguirre aka Mary Ann Vargas (CRD # 1357782, Associated Person, San Antonio, Texas) was barred from association with any FINRA member in any capacity. The sanction was based on findings that, in her role in her member firm’s cashiering department, she systematically misappropriated $45,500 by engaging in a check kiting scheme. The findings [...]

Madeline Marie Langlois (CRD # 4799218, Registered Representative, Austin, Texas) submitted an Offer of Settlement in which she was fined $5,000, suspended from association with any FINRA member in any capacity for two years, and required to retake and pass the Series 66 examination prior to again functioning in a capacity requiring such examination. The [...]

Kelly Demetrius Wright (CRD # 2062526, Registered Principal, Chicago, Illinois) 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, Wright consented to the described sanction and to the entry of findings that he exercised discretion in effecting stock and [...]

John Keith Kutsche (CRD # 2634388, Registered Representative, Woodstock, Georgia) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kutsche engaged in outside business activities without prompt written notice to his member firm. The findings stated that Kutsche failed to respond to FINRA requests for information [...]

Richard Francis Kresge (CRD # 729077, Registered Principal, Bay Shore, New York) was barred from association with any FINRA member in any capacity. The NAC imposed the sanction in response to an SEC decision remanding the case for re-determination of sanctions. The sanction was based on previously established findings that Kresge failed to establish or [...]

Bruce Arthur Tucker (CRD # 2369029, Registered Representative, Delray Beach, 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, Tucker consented to the described sanction and to the entry of findings that he made recommendations [...]

Michael D. Kirk (CRD # 4299057, Registered Representative, Las Vegas, Nevada) 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 Kirk’s reassociation with a FINRA memberfirm following [...]

Michael Owen Traynor (CRD # 1104964, Registered Principal, Bradenton, 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, Traynor consented to the described sanction and to the entry of findings that he received a $100,000 [...]

Dennis Jordan (CRD # 1420210, Registered Principal, Chipley, Florida) was fined $60,000 and barred from association with any FINRA member firm in any principal capacity. The fine is due and payable if and when Jordan reassociates with a memberfirm in any capacity.The sanctions were based on findings that Jordan failed to establish, maintain and enforce [...]

James Jhun (CRD # 5340474, Associated Person, Alta Loma, 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 Jhun’s reassociation with a FINRA member firm following his [...]

Bobby Glenn James (CRD # 1311728, Registered Representative, Parker, Texas) 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 six months. The fine must be paid either immediately upon James’ reassociation with a FINRA member firm following his [...]

Barry Ray Stokes (CRD # 2128600, Registered Representative, Dickson, Tennessee) 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, Stokes consented to the described sanction and to the entry of findings that he failed to respond [...]

Ruben Garcia Rojas (CRD # 5431331, Associated Person, Tieton, Washington) 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 four months. The fine must be paid either immediately upon Rojas’ reassociation with a FINRA member firm following his [...]

Alan Lawrence Jacobs (CRD # 1032488, Registered Principal, Boca Raton, Florida) 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 principal capacity for 30 business days. Without admitting or denying the findings, Jacobs consented to the described sanctions and to [...]

Guadalupe Rivera (CRD # 4916520, Registered Representative, Brooklyn, New York) submitted an 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, Rivera consented to the described sanction and to the entry of findings that, while she was employed [...]

Stephen Colley Harris (CRD # 4016919, Registered Representative, Tuscaloosa, Alabama) 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, Harris consented to the described sanction and to the entry of findings that he falsified an annuity distribution request form [...]

Ara Proudian (CRD # 2488729, Registered Principal and Representative, New Rochelle, New York) was fined $25,000, suspended from associating with any FINRA member in any capacity for one year and ordered to requalify in all capacities prior to reassociating with any FINRA member. The NAC imposed the sanctions following a call for review of an [...]

Elena Dumitra Grigoropol (CRD # 2546855, Registered Representative, Bensalem, Pennsylvania) 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 two months. The fine must be paid either immediately upon Grigoropol’s reassociation with a FINRA member firm following her [...]

Nicholas Anthony Natale (CRD # 1588810, Registered Principal, Delray Beach, Florida) was fined $90,000 and barred from association with any FINRA member in any principal capacity. The sanctions were based on findings that Natale failed to ensure that his member firm complied with the Taping Rule requirements under NASD Rule 3010(b)(2). The findings stated that [...]

Avidan Danny Fishman (CRD # 2614469, Registered Principal, Encino, California) was fined $2,500 and suspended from association with any FINRA member in any capacity for six months for willful failure to disclose information, and was fined $2,500 and suspended from association with any FINRA member in any capacity for one month for failure to disclose [...]

Thomas James Mulvey Jr. (CRD # 1851436, Registered Representative, Lincoln, Rhode Island) submitted an Offer of Settlement in which he was fined $10,000 and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the allegations, Mulvey consented to the described sanctions and to the entry of findings [...]

Justin F. Ficken (CRD # 4059611, Registered Representative, Boston, Massachusetts) 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 Ficken’s reassociation with a FINRA member firm following his suspension, or prior [...]

Joseph A. DeFini (CRD # 1612289, Registered Representative, Fort Lauderdale, 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 days. In light of DeFini’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, DeFini consented [...]

Steven Fisher Mosshart (CRD # 1504071, Registered Representative, Troy, Michigan) submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for one year and ordered to pay $905,000, plus interest, in restitution to public customers. The restitution amounts are due and payable either immediately upon reassociation [...]

Riley Kenneth McHugh (CRD # 836722, Registered Principal, Reno, Nevada) 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, McHugh consented to the described sanction and to the entry of findings that he participated in private [...]

Jun M. Chiu (CRD # 2730745, Registered Representative, Ridgewood, 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 10 business days. The fine must be paid either immediately upon Chiu’s reassociation with a FINRA member firm [...]