Kathy Lynn Gallagher (CRD #2189903, Associated Person, Pocatello, Idaho) submitted an Offer of Settlement in which she was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Gallagher consented to the described sanction and to the entry of findings that she misused $218,558.00 of public customers’ funds intended [...]

Dennis Scott Comerford (CRD #51684, Registered Representative, Fort Worth, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Comerford consented to the described sanction and to the entry of findings that he participated in private [...]

Adam R. Cherney (CRD #4364681, Registered Representative, West Hempstead, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any NASD member in any capacity for 60 days. Without admitting or denying the findings, Cherney consented to the described sanctions and to the entry [...]

Douglas Walter Campbell Jr. (CRD #2462754, Registered Principal, Water Mill, New York) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any NASD member in any capacity for 35 days. Without admitting or denying the allegations, Campbell consented to the described sanctions and to the entry of findings [...]

Stephan Peter Boruchin (CRD #1201115, Registered Principal, Edmond, Oklahoma) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Boruchin consented to the described sanction and to the entry of findings that he provided, or caused to [...]

Mustapha Youssef Aljaroudi (CRD #3274506, Registered Representative, Miami, Florida) submitted an Offer of Settlement in which he was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Aljaroudi consented to the described sanction and to the entry of findings that he engaged in a pattern of misconduct that [...]

Joseph James Adamo (CRD #2016233, Registered Principal, Rocky River, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Adamo consented to the described sanction and to the entry of findings that he caused customer funds [...]

Christina S.A. DeCastro (CRD #2601034, Registered Principal, Scarsdale, New York) submitted a Letter of Acceptance, Waiver and Consent in which they were censured and fined $10,000, jointly and severally. The firm was fined an additional $10,000. Without admitting or denying the findings, the firm and DeCastro consented to the described sanctions and to the entry [...]

Nimish Gandhi (CRD #2666422, Registered Principal, Peoria, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which they were censured and fined $15,000, jointly and severally. Without admitting or denying the findings, the firm and Gandhi consented to the described sanctions and to the entry of findings that the firm, acting through Gandhi, did [...]

Jerome August Borzello (CRD #801913, Registered Principal, Dunwoody, Georgia) submitted a Letter of Acceptance, Waiver and Consent in which they were censured and fined $15,000, jointly and severally. The firm must also pay $6,284.09 in disgorgement of excess commissions, plus interest, to public customers. Without admitting or denying the findings, the firm and Borzello consented [...]

Nancylee Girling (CRD #3185670, Registered Representative, Tsawwassen, British Columbia, Canada) submitted a Letter of Acceptance, Waiver and Consent in which the firm and Girling were censured. The firm was fined $50,000, $15,000 of which is joint and several with Elliott, $15,000 is joint and several with Shepherd and $10,000 is joint and several with Girling. [...]

David Brian Elliott (CRD #2814225, Registered Representative, Delta, British Columbia, Canada) submitted a Letter of Acceptance, Waiver and Consent in which the firm and Girling were censured. The firm was fined $50,000, $15,000 of which is joint and several with Elliott, $15,000 is joint and several with Shepherd and $10,000 is joint and several with Girling. [...]

John David Shepherd (CRD #2814215, Registered Principal, White Rock, British Columbia, Canada) submitted a Letter of Acceptance, Waiver and Consent in which the firm and Girling were censured. The firm was fined $50,000, $15,000 of which is joint and several with Elliott, $15,000 is joint and several with Shepherd and $10,000 is joint and several [...]

Jeffrey Scott Ramson (CRD #1574903, Registered Principal, New York, New York) submitted Offers of Settlement in which the firm and Ramson were fined $100,000, jointly and severally, and the firm was ordered to retain an independent consultant to review the firm’s policies, systems, procedures and training relating to supervisory deficiencies, and submit a report to [...]

Ernest Richard Viola (CRD #2719728, Registered Principal, Peekskill, New York) submitted Offers of Settlement in which the firm and Ramson were fined $100,000, jointly and severally, and the firm was ordered to retain an independent consultant to review the firm’s policies, systems, procedures and training relating to supervisory deficiencies, and submit a report to NASD with [...]

Alphonse Mekalainas Jr. (CRD #1276859, Registered Principal, Las Vegas, Nevada) Registered Principal, New York, New York) submitted Offers of Settlement in which the firm and Ramson were fined $100,000, jointly and severally, and the firm was ordered to retain an independent consultant to review the firm’s policies, systems, procedures and training relating to supervisory deficiencies, [...]

Richard John Kailer (CRD #263192, Registered Principal, Yardley, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which the firm and Kailer were censured, and the firm was fined $45,000, $20,000 of which was joint and several with Kailer. Without admitting or denying the findings, the firm and Kailer consented to the described [...]

Banif Securities, Inc. (CRD #38913, New York, New York) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which the firm and Kailer were censured, and the firm was fined $45,000, $20,000 of which was joint and several with Kailer. Without admitting or denying the findings, the firm and Kailer consented to the described sanctions [...]

Arthur Kevin Gotzmer (CRD # 4277144, Registered Representative, Melbourne, 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, Gotzmer consented to the described sanction and to the entry of findings that he signed customers’ names [...]

Charles William Wannen III (CRD # 2453110, Registered Representative, Hicksville, New York) submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for six months. In light of Wannen’s financial status, no monetary sanctions were imposed. Without admitting or denying the allegations, Wannen consented to the [...]

Anthony J. Trimboli (CRD # 4734730, Registered Representative, Norwalk, Connecticut) 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 12 months. Without admitting or denying the findings, Trimboli consented to the described sanctions and to the entry of [...]

Michael Slusher (CRD # 5175006, Registered Representative, Rhinebeck, New York) 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, Slusher consented to the described sanction and to the entry of findings that without a bank customer’s authorization or consent, [...]

Diane Jo Savage (CRD # 1006815, Registered Representative, Pittsburgh, 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 30 days. The fine must be paid either immediately upon Savage’s reassociation with a FINRA member firm following her [...]

Leo James Ryan Jr. (CRD # 2953421, Registered Representative, Natick, Massachusetts) 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 Ryan’s reassociation with a FINRA member firm following [...]

Yvonne Yuliene Russell (CRD # 1863146, Registered Representative, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000 and suspended from association with any FINRA member in any capacity for 30 business days. Without admitting or denying the findings, Russell consented to the described sanctions and to [...]

Daniel Joseph Roberts (CRD # 4588649, Registered Representative, Tampa, 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 capacity for 100 days. The fine must be paid either immediately upon Roberts’ reassociation with a FINRA member firm following his [...]

Michael James Redmon (CRD # 4455900, Registered Representative, El Sobrante, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Redmon failed to respond to FINRA requests to provide information and documentation. (FINRA Case # 2007008657201)

Joseph M. Porter (CRD # 5183272, Registered Representative, Cleves, 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 six months. The fine must be paid either immediately upon Porter’s reassociation with a FINRA member firm following his [...]

Jeff Yuejian Pan (CRD # 3141317, Registered Principal, Suwanee, 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 18 months. The fine must be paid either immediately upon Pan’s reassociation with a FINRA member firm following his [...]

Brian Robert Nord (CRD # 2759032, Registered Representative, Deer Park, 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, Nord consented to the described sanction and to the entry of findings that he loaned to [...]

Kenneth Stuart Nierenberg (CRD # 1596132, Registered Principal, Central Valley, New York) 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, Nierenberg consented to the described sanction and to the entry of findings that, without authorization or consent, he [...]

Tamra Renee Morriston (CRD # 2778559, Registered Representative, Summersville, West Virginia) 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, Morriston consented to the described sanction and to the entry of findings that she engaged in outside business activities [...]

Glenn James Meyer (CRD # 2674576, Registered Principal, Mt. Sinai, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Meyer failed to appear for a FINRA on-the-record interview. The findings stated that Meyer participated in a private securities transaction, for compensation, and failed to [...]

Fred Luther May III (CRD # 3193207, Registered Principal, 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, May consented to the described sanction and to the entry of findings that he misappropriated [...]

Vernon A. Lochtefeld (CRD # 1885676, Registered Principal, Duluth, 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 30 days. The fine must be paid either immediately upon Lochtefeld’s reassociation with a FINRA member firm following his [...]

Barry Michael Kornfeld (CRD # 1490377, Registered Principal, Parkland, 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, Kornfeld consented to the described sanction and to the entry of findings that he failed to appear [...]

Matthew John King Jr. (CRD # 270014, Registered Representative, New Rochelle, New York) 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. Without admitting or denying the findings, King consented to the described sanctions and to [...]

Danny Lynn Kimbrough (CRD # 2337326, Registered Representative, Decatur, Alabama) 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 Kimbrough’s reassociation with a FINRA member firm following his [...]