Andrew Shubert (CRD # 1457528, Registered Principal, Woodmere, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000. Without admitting or denying the findings, Shubert consented to the described sanctions and to the entry of findings that he failed to establish and maintain written procedures to supervise [...]

Jason Patrick Kavanaugh (CRD # 2693303, Registered Principal, Ann Arbor, Michigan) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $10,000. The fine must be paid either immediately upon Kavanaugh’s reassociation with a FINRA member or prior to the filing of any application or request for relief from any statutory disqualification, [...]

Lewis Mason (CRD # 1797652, Registered Representative, Old Westbury, New York) submitted a Letter of Acceptance, Waiver and Consent in which each was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without admitting or denying the findings, Sucoff and Mason consented to the described sanctions and [...]

Allerton Towne (CRD # 1212315, Registered Representative, Boca Raton, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Towne intentionally, and without authorization, converted $4,181.81 from a customer account to the account of a corporation he owned with the same name, and used the funds [...]

Cary William Sucoff (CRD # 1156732, Registered Principal, Cold Spring Harbor, New York) and Lewis Mason (CRD # 1797652, Registered Representative, Old Westbury, New York) submitted a Letter of Acceptance, Waiver and Consent in which each was fined $10,000 and suspended from association with any FINRA member in any capacity for 15 business days. Without [...]

Edward Randolph Stern (CRD # 1565355, Registered Representative, Poulsbo, Washington) 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 30 business days. The fine must be paid either immediately upon Stern’s reassociation with a FINRA member firm following [...]

Jonathan Dominic Soranno (CRD # 5039149, Registered Representative, Astoria, 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, Soranno consented to the described sanction and to the entry of findings that he executed short-term [...]

Yuvraj Singh (CRD # 4548200, Registered Representative, Mountain View, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Singh failed to respond to FINRA requests for information and documents.

Ralph Matthew Shino (CRD # 1380293, Registered Principal, Scottsdale, Arizona) submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any principal capacity for six months. The fine must be paid either immediately upon Shino’s reassociation with a FINRA member firm following his suspension, or [...]

Julianna Marie Shadinger (CRD # 3215505, Registered Representative, South Bend, Indiana) submitted an Offer of Settlement in which she was fined $5,000, suspended from association with any FINRA member in any capacity for six months, and required to requalify by examination before reentering the securities industry. Without admitting or denying the allegations, Shadinger consented to [...]

Doria Sabia-Florence (CRD # 1136269, Registered Representative, Statesboro, Georgia) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Sabia-Florence completed and forged Letters of Authorization (LOAs) instructing her member firm to transfer funds totaling $85,100 from various customers’ accounts to a firm account her relatives owned, [...]

Philip Donato Rossi (CRD # 2001232, Registered Representative, Shaker Heights, Ohio) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Rossi engaged in outside business activities, for compensation, and failed to give prompt written notice to his member firm. The findings stated that Rossi failed to [...]

Gail Marie Rodriguez (CRD # 4271558, Registered Representative, East Stroudsburg, 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 four months. The fine must be paid either immediately upon Rodriguez’ reassociation with a FINRA member firm following [...]

Michael Julius Resnick (CRD # 1267872, Registered Principal, Phoenix, Arizona) submitted a Letter of Acceptance, Waiver, and Consent in which he was barred from association with any FINRA member firm in any capacity. Without admitting or denying the findings, Resnick consented to the described sanction and to the entry of findings that, while associated with [...]

Phillip Alan Pickle (CRD # 2443472, Registered Principal, Broken Arrow, Oklahoma) 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 nine months. The fine must be paid either immediately upon Pickle’s reassociation with a FINRA member firm following [...]

Vance A. Philpotts (CRD # 3097612, Associated Person, Cambria Heights, 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, Philpotts consented to the described sanction and to the entry of findings that, while employed [...]

Ronald Pellegrino (CRD # 832857, Registered Principal, Bellingham, Washington) was barred from association with any FINRA member firm in any principal capacity. The SEC sustained the sanction following appeal of a National Adjudicatory Council (NAC) decision. The sanction was based on findings that Pellegrino, acting on a member firm’s behalf, failed to develop an adequate [...]

David Alejandro Pedroza (CRD # 2326925, Registered Principal, Holmdel, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $40,000, suspended from association with any FINRA member in any capacity for four months and required to pay $933.33 in disgorgement. The fine must be paid either immediately upon Pedroza’s reassociation [...]

Matthew Edward O’Callaghan (CRD # 5273940, Registered Representative, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, 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 O’Callaghan’s reassociation with a FINRA member [...]

Patricia Estela Murray (CRD # 2039682, Registered Representative, Birmingham, Alabama) 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, Murray consented to the described sanction and to the entry of findings that she charged a customer [...]

Rudy Rinehart Mueller (CRD # 342122, Registered Representative, Dallas, 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 10 business days. Without admitting or denying the findings, Mueller consented to the described sanctions and to the entry [...]

Pamela Louise Mirabella (CRD # 4956888, Associated Person, Peabody, Massachusetts) 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 Mirabella’s reassociation with a FINRA member firm following her [...]

James Joseph Miller (CRD # 1057886, Registered Representative, Tampa, 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, Miller consented to the described sanction and to the entry of findings that he received $176,942 from [...]

William Francis Kelly (CRD # 2456876, Registered Representative, Fort Myers, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Kelly failed to respond to FINRA requests for information.
The findings stated that Kelly borrowed $5,000 from a customer contrary to his member firm’s written supervisory procedures [...]

Jeff David Jewett (CRD # 4568636, Registered Representative, Bend, Oregon) submitted a Letter of Acceptance, Waiver, and Consent in which he was fined $15,000, which includes the disgorgement of $5,000 in financial benefits received, and suspended from association with any FINRA member in any capacity for 18 months. The fine must be paid either immediately [...]

Mitsuhiro Ide (CRD # 4782752, Registered Representative, Oklahoma City, Oklahoma) 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 six months. The fine must be paid either immediately upon Ide’s reassociation with a FINRA member firm following his [...]

Douglas William Hemke (CRD # 1204584, Registered Principal, St. Joseph, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $30,000, suspended from association with any FINRA member in any capacity for 30 business days and suspended from association with any FINRA member in any principal capacity for three months. The [...]

Gary Allen Hanson (CRD # 1909594, Registered Representative, Colorado Springs, Colorado) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for nine months. In light of Hanson’s financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Hanson [...]

Joseph William Hagan (CRD # 1980623, Registered Representative, Colts Neck, New Jersey) was fined $10,000, barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for three months. The sanctions were based on findings that Hagan evaded an Internal Revenue Service (IRS) garnishment [...]

Jon David Gornbein (CRD # 4177639, Registered Representative, Keego Harbor, Michigan) 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, Gornbein consented to the described sanction and to the entry of findings that he failed to respond to FINRA [...]

Dianne Marie Goedtel (CRD # 4690759, Registered Representative, Centereach, New York) 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 business days. Without admitting or denying the findings, Goedtel consented to the described sanctions and to the [...]

Steven Roger Fence (CRD # 2618764, Registered Representative, Little Egg Harbor, 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, Fence consented to the described sanction and to the entry of findings that he [...]

William Andrew Drake Jr. (CRD # 5481579, Associated Person, Tigard, Oregon) 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 month. The fine must be paid either immediately upon Drake’s reassociation with a FINRA member firm following [...]

Verne T. Dickerson (CRD # 5508658, Associated Person, Vienna, Virginia) 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, Dickerson consented to the described sanction and to the entry of findings that he willfully failed to disclose material information [...]

Dhulsini Hemani De Zoysa (CRD # 3127323, Registered Representative, New York. New York) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000, barred from association with any FINRA member in any capacity requiring Series 86 and/or Series 87 (Research Analyst) registration, and suspended from association with any member firm in [...]

Jordan Zuulun Cohen (CRD # 4191994, Registered Representative, New York, 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 six months. The fine must be paid either immediately upon Cohen’s reassociation with a FINRA member firm [...]

Patrick Vern Clarkson (CRD # 4171787, Registered Representative, Eugene, Oregon) 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, Clarkson consented to the described sanction and to the entry of findings that he submitted variable life [...]

Ronald R. Cino (CRD # 1550944, Registered Representative, Mamaroneck, 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 any capacity for five business days. Without admitting or denying the findings, Cino consented to the described sanctions and to the [...]

Bill Q. Chen (CRD # 4442892, Registered Representative, Arcadia, California) 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, Chen consented to the described sanction and to the entry of findings that he engaged in misuse of customer funds [...]

Christian Powers Call (CRD # 2290196, Registered Representative, New York, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $5,000 and suspended from association with any FINRA member in any capacity for 45 days.The fine must be paid either immediately upon Call’s reassociation with a FINRA member firm [...]

Carlos Manuel Bravo (CRD # 1209899, Registered Representative, Miami, Florida) submitted an Offer of Settlement in which he was suspended from association with any FINRA member in any capacity for 20 business days. In light of Bravo’s financial status, no monetary sanctions were imposed. Without admitting or denying the allegations, Bravo consented to the described [...]

Daniel Gene Barnes (CRD # 4815833, Registered Representative, Raleigh, North 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 four months. The fine must be paid either immediately upon reassociation with a FINRA member firm following his [...]

Shawn Paul Arlauckas (CRD # 2877644, Registered Principal, Bricktown, 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, Arlauckas consented to the described sanction and to the entry of findings that he churned customers’ [...]

John Wellington Albertson Jr. (CRD # 4577872, Registered Representative, Round Rock, Texas) 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 45 business days. The fine must be paid either immediately upon Albertson’s reassociation with a FINRA member [...]

Jed Philip Kaplan (CRD # 1622929, Registered Principal, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which the firm and Kaplan were censured and fined $15,000, jointly and severally. Without admitting or denying the findings, the firm and Kaplan consented to the described sanctions and to the entry of findings that [...]

Steven Gary Dash (CRD # 2438498, Registered Principal, New City, New York) submitted an Offer of Settlement in which the firm was censured and fined $15,000, and Dash was suspended from association with any FINRA member in any capacity for two months. In light of Dash’s financial status, no monetary sanctions were imposed. Without admitting [...]

Donald Arthur Itzen (CRD # 853436, Registered Principal, Austin,Texas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $20,000, $10,000 of which was jointly and severally with Itzen. Itzen was suspended from association with any FINRA member in any principal capacity for 20 business days. Without admitting or [...]

Michael Francis Smith (CRD # 1397389, Registered Principal, Aberdeen, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000. Without admitting or denying the findings, Smith consented to the described sanctions and to the entry of findings that he failed to enforce his member firm’s supervisory procedures [...]

Anton Yereshkin (CRD # 5452893, Associated Person, Groton, New York) was fined $5,000 and suspended from association with any FINRA member in any capacity for one year. The fine is due and payable if and when Yereshkin reassociates with a member firm following his suspension. The sanctions were based on findings that Yereshkin willfully failed [...]

John Carl Wils (CRD # 2786354, Registered Representative, East Moline, Illinois) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Wils received $13,129 from customers that was intended for investments and insurance coverage payments and deposited the funds into his personal bank account, converting the funds [...]