Gino Nick Chiappetta (CRD # 2105561, Registered Principal, Northwood, Ohio) 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 five business days. Without admitting or denying the findings, Chiappetta consented to the described sanctions and to the entry [...]

Jordan Dean Main (CRD # 4520794, Registered Representative, South Lyon, Michigan) 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. Without admitting or denying the findings, Main consented to the described sanctions and to the entry [...]

Laird Quincy Cagan (CRD # 1605236, Registered Principal, Los Altos, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any member firm in any capacity for 10 business days. Without admitting or denying the findings, Cagan consented to the described sanctions and to the [...]

Raymond Michael Burghard (CRD # 2546053, Registered Representative, Spring Hill, 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, Burghard consented to the described sanction and to the entry of findings that he engaged in [...]

Patrick Allen Bruns (CRD # 3048724, Registered Principal, Champaign, Illinois) 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 Bruns’ financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Bruns consented to [...]

Noah James Aulwes (CRD# 1380136, Registered Representative, Cedar Rapids, Iowa) 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 one year. The fine must be paid before Aulwes reassociates with any FINRA member following his suspension, or prior [...]

Stanley James Allen Jr. (CRD # 1243941, Registered Principal, Scottsdale, Arizona) 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 principal capacity for one year. Without admitting or denying the findings, Allen consented to the described sanctions and to the [...]

Eric Jay Marshall (CRD # 2981115, Registered Principal, Grapevine, Texas) and First Dallas Securities, Inc. (CRD # 24549, Dallas, Texas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $50,000, $10,000 of which was jointly and severally with Marshall. Marshall was fined an additional $5,428.07, which included $428.07 [...]

Ronald Stein (CRD # 434761, Registered Principal, Los Angeles, California) and Malory Investments, LLC (CRD # 110936, Los Angeles, California) submitted a Letter of Acceptance, Waiver and Consent in which the firm was expelled from FINRA membership and Stein was barred from association with any FINRA member in any capacity. Without admitting or denying the [...]

Dennis Cotto (CRD # 3047293, Associated Person, Vienna, Virginia) and Harvest Capital Investments, LLC (CRD # 40367, Vienna, Virginia). The firm was expelled from FINRA membership and Cotto was barred from association with any FINRA member in any capacity. The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of Hearing Officers [...]

Carlos Lopez III (CRD # 5345944, Registered Representative, El Paso, 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, Lopez consented to the described sanction and to the entry of findings that he took $398.26 [...]

Cindy Lee Kontorowicz (CRD # 5373828, Registered Representative, Hamilton, 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 three months. The fine must be paid either immediately upon Kontorowicz’ reassociation with a FINRA member firm following [...]

Legare Minott Johnson (CRD # 1480395, Registered Representative, Awenda, South Carolina) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Johnson failed to respond to FINRA requests for information. (FINRA Case # 2006007502601)

Jophlin Devon Johnson (CRD # 4486919, Associated Person, Irving, Texas) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Johnson willfully failed to disclose material information on his Form U4. The findings stated that Johnson failed to respond to FINRA requests for information. (FINRA Case # [...]

Brent Allen Hines (CRD # 3242314, Registered Representative, Parker, Colorado) 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, Hines consented to the described sanction and to the entry of findings that he failed to respond [...]

Brantley Sewell Wise (CRD # 2279645, Registered Representative, Moncks Corner, 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 three months. The fine must be paid either immediately upon Wise’s reassociation with a FINRA member firm [...]

Jack Barnes Vasconcellos (CRD # 2749202, Registered Representative, Canyon Lake, 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, Vasconcellos consented to the described sanction and to the entry of findings that he received funds [...]

Flavio Guido Varone (CRD # 1204320, Registered Representative, Chesterland, Ohio) was barred from association with any FINRA member in any capacity and ordered to pay $17,866.51, plus interest, in restitution. The sanctions were based on findings that Varone received $17, 866.51 from a public customer to open a trust account for the customer’s relative and [...]

Michael Valerio Jr. (CRD # 2694629, Registered Representative, Milford, Connecticut) 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, Valerio consented to the described sanction and to the entry of findings that he was the broker [...]

Malcolm Alphonso Turner II (CRD # 2604387, Registered Representative, Canton, Michigan) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Turner failed to respond to FINRA requests for information.

Samuel Jeffrey Toliver (CRD # 5353668, Associated Person, Little Rock, Arkansas) 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 Toliver’s reassociation with a FINRA member firm following [...]

D. Peter Tipping (CRD # 2278762, Registered Representative, Hillsdale, 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 five business days. Without admitting or denying the findings, Tipping consented to the described sanctions and to the [...]

Robert J. Soper (CRD # 5341447, Associated Person, Raleigh, North Carolina) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Soper failed to respond to FINRA requests for information and documents.

Brian Keith Snyder (CRD # 2022637, Registered Principal, Terre Haute, 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, Snyder consented to the described sanction and to the entry of findings that a public customer [...]

Donald Everett Smallwood Jr. (CRD # 2154135, Registered Representative, Gibsonia, Pennsylvania) 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, Smallwood consented to the described sanction and to the entry of findings that he received $40,000 [...]

Timothy Patrick Shively (CRD # 1664561, Registered Representative, San Antonio, 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, Shively consented to the described sanction and to the entry of findings that he made unsuitable [...]

David Stanley Shelton (CRD # 1293377, Registered Representative, Knoxville, Tennessee) 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 one month and ordered to pay $20,000, plus interest, in restitution to a public customer. The fine and restitution must [...]

Dorian K. Saunders (CRD # 4577155, Registered Representative, St. Louis, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. In light of Saunders’ financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Saunders consented to the described [...]

Michael Joseph Salovay (CRD # 2932349, Registered Representative, Pittsburgh, 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 nine months. The fine must be paid either immediately upon Salovay’s reassociation with a FINRA member firm following his [...]

Noel Andrew Rose (CRD # 4564497, Registered Principal, Monroeville, Pennsylvania) 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, Rose consented to the described sanction and to the entry of findings that he borrowed $41,500 from [...]

Kier Robinson (CRD # 4637694, Registered Representative, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $57,000, which includes disgorgement of $33,269, and suspended from association with any FINRA member in any capacity for seven months. Without admitting or denying the findings, Robinson consented to the described sanctions and [...]

Juan Rios (CRD # 5340021, Registered Representative, Bayonne, 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, Rios consented to the described sanction and to the entry of findings that he caused the issuance [...]

Gordon Lee Powers Jr. (CRD # 2335716, Registered Representative, Bellevue, Washington) 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 two years. The fine must be paid either immediately upon Powers’ reassociation with a FINRA member firm following [...]

Matthew J. Pincus (CRD # 5249294, Associated Person, North Babylon, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Pincus failed to respond to FINRA requests for information.

Geoffrey Ortiz (CRD # 1808280, Registered Representative, Malibu, California) was barred from association with any FINRA member in any capacity. The SEC sustained the sanction following appeal of a NAC decision. The sanction was based on findings that Ortiz forged, or caused to be forged, customer initials that approved increased fees on public customer account [...]

Christopher Dominick O’Connor (CRD # 2887894, Registered Supervisor, Hastings, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that O’Connor wrongfully converted funds totaling $59,590.41 from a public customer’s Individual Retirement Account (IRA) and created a false account statement to conceal his conversion.

Robert Donald Mudry (CRD # 1200820, Associated Person, Ridgewood, 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, Mudry consented to the described sanction and to the entry of findings that while associated with [...]

Gordon Robert Moore (CRD # 4372211, Registered Principal, Longmont, Colorado) 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, Moore consented to the described sanction and to the entry of findings that he falsified documents concerning [...]

Daniel Kevin Mennemeyer (CRD # 2908642, Registered Representative, Evanston, 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, Mennemeyer consented to the described sanction and to the entry of findings that he used the identification [...]

Mark Allen Lakers (CRD # 4159499, Registered Representative, Gretna, Nebraska) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,0000 and suspended from association with any FINRA member in any capacity for 30 days. Without admitting or denying the findings, Lakers consented to the described sanctions and to the entry of [...]

Thomas J. Kuba (CRD # 4605913, Registered Representative, Port St. Lucie, 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, Kuba consented to the described sanction and to the entry of findings that without their [...]

Donald Craig Korkow (CRD # 2156222, Registered Representative, Silver City, Iowa) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $2,500 and suspended from association with any FINRA member in any capacity for three months. The fine must be paid either immediately upon Korkow’s reassociation with a FINRA member firm [...]

Thomas Joseph Karem (CRD # 264357, Registered Principal, Louisville, Kentucky) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $25,000, which includes disgorgement of $20,000 in financial gains, suspended from association with any FINRA member in any capacity for 90 days and ordered to pay $9,000 in restitution. The fine [...]

Jessica M. Jackson (CRD # 4259060, Associated Person, Mt. Pleasant, South Carolina) submitted an Offer of Settlement in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Jackson consented to the described sanction and to the entry of findings that she transferred funds from her [...]

Jose Daniel Iriarte Jr. (CRD # 4146368, Registered Representative, Severn, Maryland) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Iriarte borrowed $132,000 from a non-family public customer, contrary to his member firm’s written procedures prohibiting registered employees from borrowing money from customers, unless they were [...]

Eddmon Mark Hodge Jr. (CRD # 3187403, Registered Representative, St. George, Utah) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hodge failed to respond to FINRA requests for information and documents.

Cheryl Ann Howard Hixson (CRD # 2474360, Associated Person, Cleveland, Tennessee) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hixson failed to respond to a FINRA request for information.

Alexandre Pereira Guimaraes (CRD # 4971822, Registered Representative, Irvine, 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 30 business days. The fine must be paid either immediately upon Guimaraes’ reassociation with a FINRA member firm following [...]

David Joseph Galli (CRD # 2271913, Registered Principal, Fairoaks, 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, Galli consented to the described sanction and to the entry of findings that he received $696,590 from [...]

Eduardo Galan (CRD # 1096059, Registered Representative, Brockport, 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, Galan consented to the described sanction and to the entry of findings that he engaged in private [...]