Monica Blair Yates (CRD #1999021, Registered Representative, Fincastle, Virginia) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Yates consented to the described sanction and to the entry of findings that she obtained possession of two [...]

Blain Anthony West (CRD #5004618, Registered Representative, Tillamook, Oregon) 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. The fine must be paid before West reassociates with any NASD member following the suspension, or before he [...]

Christopher Anderson Weinrich (CRD #1462725, Registered Representative, Kansas City, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $11,247.00, which includes $1,247 in disgorgement, and suspended from association with any NASD member in any capacity for 30 business days. The fine must be paid before Weinrich reassociates with any NASD [...]

Michael Weinraub (CRD #864247, Registered Representative, Wyckoff, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any NASD member in any capacity for 60 days. Without admitting or denying the findings, Weinraub consented to the described sanctions and to the entry of findings [...]

John Christopher Trimmings (CRD #2257118, Registered Principal, Gansevoort, New York) 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, Trimmings consented to the described sanction and to the entry of findings that he received $60,821.89 from [...]

Donald Joseph Tintle (CRD #4855119, Associated Person, Middletown, Connecticut) was barred from association with any NASD member in any capacity. The sanction was based on findings that Tintle received $27,000 from public customers to purchase stock, and deposited the funds in a bank account he controlled without purchasing the stock. The findings stated that Tintle [...]

Adam Michael Stafford (CRD #4332433, Registered Representative, Canby, Oregon) 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 30 days. The fine must be paid before Stafford reassociates with any NASD member following the suspension, or before he [...]

Thomas Avery Smith (CRD #1134969, Registered Principal, Owensboro, Kentucky) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $35,000, suspended from association with any NASD member in any capacity for two years and ordered to requalify by exam in all capacities. The fine must be paid before Smith reassociates with any [...]

Kathleen Patricia Smith (CRD #3078908, Associated Person, Cincinnati, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any NASD member in any capacity for 30 days. Without admitting or denying the findings, Smith consented to the described sanctions and to the entry of findings [...]

Mark Jeffrey Sheehy (CRD #2224709, Registered Representative, Scottsdale, Arizona) was barred from association with any NASD member in any capacity. The sanction was based on findings that Sheehy received $97,500 from a public customer to be invested, deposited the funds into his bank account and executed numerous transactions in the customer’s account without the customer’s [...]

John Christopher Sanchez (CRD #3153473, Registered Representative, Mullica Hill, New Jersey) 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 three months. The fine must be paid before Sanchez reassociates with a member firm following the suspension, or [...]

Soena Sahni (CRD #4514611, Registered Representative, Howell, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Sahni consented to the described sanction and to the entry of findings that she willfully failed to disclose [...]

Manuel Rose III (CRD #1424164, Registered Representative, Grand Rapids, Michigan) 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, Rose consented to the described sanction and to the entry of findings that he received $22,000 from a public customer [...]

Alexis Jose Rivera (CRD #1656738, Registered Principal, Tampa, Florida) 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, Rivera consented to the described sanction and to the entry of findings that he engaged in a fraudulent [...]

Robert Duane Ralston (CRD #801226, Registered Representative, Normal, Illinois) 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. The fine must be paid before Ralston reassociates with any NASD member following the suspension, or before he [...]

Donald Chapman Pratt (CRD #367121, Registered Principal, Glastonbury, Connecticut) 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 30 days. Without admitting or denying the findings, Pratt consented to the described sanctions and to the entry of findings [...]

Christopher Scott Condurso (CRD #4531589, Registered Representative, Long Branch, New Jersey),  Enrique Aguilera (CRD #2762032, Registered Representative, Hazlet, New Jersey), and Derek Ryan Pines (CRD #4428120, Registered Principal, Hoboken, New Jersey), submitted Letters of Acceptance, Waiver and Consent in which Aguilera was fined $15,000, suspended from association with any NASD member in any capacity for [...]

Enrique Aguilera (CRD #2762032, Registered Representative, Hazlet, New Jersey), Derek Ryan Pines (CRD #4428120, Registered Principal, Hoboken, New Jersey), and Christopher Scott Condurso (CRD #4531589, Registered Representative, Long Branch, New Jersey) submitted Letters of Acceptance, Waiver and Consent in which Aguilera was fined $15,000, suspended from association with any NASD member in any capacity [...]

Derek Ryan Pines (CRD #4428120, Registered Principal, Hoboken, New Jersey), Enrique Aguilera (CRD #2762032, Registered Representative, Hazlet, New Jersey) and Christopher Scott Condurso (CRD #4531589, Registered Representative, Long Branch, New Jersey) submitted Letters of Acceptance, Waiver and Consent in which Aguilera was fined $15,000, suspended from association with any NASD member in any capacity for [...]

James Anthony Parrelly (CRD #728368, Registered Principal, Dearborn, Michigan) submitted an Offer of Settlement in which he was fined $5,000, suspended from association with any NASD member in any capacity for 20 days and ordered to pay a public customer the amount agreed upon pursuant to their written agreement. Without admitting or denying the allegations, [...]

Lamont Percell Parker (CRD #2946241, Registered Representative, Swarthmore, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $15,000 and suspended from association with any NASD member in any capacity for three months. Without admitting or denying the findings, Parker consented to the described sanctions and to the entry of findings [...]

Tony Seokoo Paik (CRD #2894154, Registered Representative, Suwanee, Georgia) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $2,500 and suspended from association with any NASD member in any capacity for 30 days. Without admitting or denying the findings, Paik consented to the described sanctions and to the entry of findings [...]

Theresa Jane Menz (CRD #4636567, Registered Representative, Columbus, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Menz consented to the described sanction and to the entry of findings that, without a public customer’s knowledge [...]

Rocco Anthony Mongelli (CRD #2746703, Registered Representative, Hillsdale, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any NASD member in any capacity for 60 days. Without admitting or denying the findings, Mongelli consented to the described sanctions and to the entry of [...]

Toby Allen McKnight (CRD #3065552, Registered Representative, Connellsville, Pennsylvania) was barred from association with any NASD member in any capacity. The sanction was based on findings that McKnight altered a Commission Override Form after signing it to reflect that he would receive 20 percent of future commissions rather than 10 percent, and he faxed the [...]

Jose Hernandez Manjarres (CRD #2718838, Registered Representative, Lincolnton, North Carolina) 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, Manjarres consented to the described sanction and to the entry of findings that he effected, or caused to be effected, [...]

Scott Douglas Martis (CRD #1397512, Registered Representative, Charlotte, Michigan) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any NASD member in any capacity for 10 business days. In light of Martis’ financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Martis consented [...]

Caliope Makris (CRD #4182361, Registered Representative, Poland, Ohio) was barred from association with any NASD member in any capacity. The sanction was based on findings that Makris failed to respond to NASD requests for information and that Makris affixed a public customer’s signature to a disability application without noting that the application had been signed [...]

Myron Doyle Lester (CRD #3037832, Registered Representative, Upper Marlboro, Maryland) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $10,000 and suspended from association with any NASD member in any capacity for one year. The fine must be paid before Lester reassociates with any NASD member following the suspension, or before [...]

Mark Kovler (CRD #4485423, Registered Representative, Briarcliff, 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 10 business days. The fine must be paid before Kovler reassociates with a member firm following the suspension, or before [...]

Michael John Kman Jr. (CRD #1928664, Registered Representative, Enola, Pennsylvania) 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, Kman consented to the described sanction and to the entry of findings that he received checks totaling [...]

John Henry Kelly (CRD #2489408, Registered Representative, Cherry Hill, New Jersey) 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 six months. The fine must be paid before Kelly reassociates with any NASD member following the suspension, or [...]

Michael William Keffler (CRD #1754242, Registered Principal, Lolo, Montana) 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 two years. The fine must be paid before Keffler reassociates with any NASD member following the suspension, or before he [...]

Roger Angelo Kapsalis (CRD #2159293, Registered Representative, Brooklyn, New York) was barred from association with any NASD member in any capacity. The sanction was based on findings that Kapsalis participated in a private securities transaction, failed to provide written notification to his member firm and failed to respond to NASD requests for information. (NASD Case [...]

Angela Shuhui Kao (CRD #3003099, Registered Representative, Diamond Bar, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000 and suspended from association with any NASD member in any capacity for 40 business days. The fine must be paid before Kao reassociates with any NASD member following the suspension, or [...]

Jay McCormick Jensen (CRD #258313, Registered Representative, St. Louis, Missouri) 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, Jensen consented to the described sanction and to the entry of findings that he failed to appear [...]

Ross Owen Haugen (CRD #1286021, Registered Supervisor, Plymouth, Minnesota) 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 10 business days. The fine must be paid before Haugen reassociates with any NASD member following the suspension, or before [...]

Norman Albert Harris (CRD #4309293, Registered Representative, Randallstown, Maryland) was barred from association with any NASD member in any capacity. The sanction was based on findings that Harris failed to respond to NASD requests for information. The findings further stated that Harris failed to provide his member firm with prompt written notice of his outside [...]

Rocco Gerard Guidicipietro (CRD #2489732, Registered Principal, Staten Island, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $113,035, which includes disgorgement of commissions received, and suspended from association with any NASD member in any capacity for one month. The fine must be paid before Guidicipietro reassociates with a [...]

Harvey Scott Grossman (CRD #2545583, Registered Representative, Blue Bell, Pennsylvania) 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, Grossman consented to the described sanction and to the entry of findings that he failed to appear [...]

Ronald Dwight Gooding (CRD #1136624, Registered Representative, Hamilton, Illinois) 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 10 business days. Without admitting or denying the findings, Gooding consented to the described sanctions and to the entry of [...]

Paul Norman Germain (CRD #1351422, Registered Principal, Ankeny, Iowa) 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, Germain consented to the described sanction and to the entry of findings that, in his capacity as operations [...]

William Alan Gay (CRD #1829623, Registered Principal, Golden, Colorado) 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, Gay consented to the described sanction and to the entry of findings that he engaged in private securities [...]

Jacques Andre Frym (CRD #1940809, Registered Representative, Richmond Hill, Georgia) 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 six months. The fine must be paid before Frym reassociates with any NASD member following the suspension, or before [...]

Robert Stewart Evans (CRD #712252, Registered Supervisor, Mt. Pleasant, South Carolina) 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, Evans consented to the described sanction and to the entry of findings that he effected securities [...]

Peter Francis Esposito III (CRD #3018087, Registered Principal, Ontario, New York) 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, Esposito consented to the described sanction and to the entry of findings that in connection with [...]

Patrick Earl Egan (CRD #724199, Registered Principal, Kansas City, Missouri) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any NASD member in any principal or supervisory capacity for 15 business days. Without admitting or denying the findings, Egan consented to the described sanctions and [...]

Shane Robert Douglas (CRD #4651892, Registered Representative, Longwood, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $6,205, suspended from association with any NASD member in any capacity for five months and ordered to pay $3,795, plus interest, in restitution. The fine and restitution amounts must be paid before Douglas [...]

GunnAllen Financial, Inc. (CRD #17609, Tampa, Florida), Richard Mark Nummi, (CRD #2540066, Registered Principal, Land O Lakes, Florida), Brian Edward Sanders (CRD #2743309, Registered Principal, Wading River, New York) and Stephen Irvin Saunders IV, (CRD #2873747, Registered Principal, Tampa, Florida) submitted an Offer of Settlement in which the firm was fined $100,000, of which $45,000 [...]

GunnAllen Financial, Inc. (CRD #17609, Tampa, Florida), Richard Mark Nummi, (CRD #2540066, Registered Principal, Land O Lakes, Florida), Brian Edward Sanders (CRD #2743309, Registered Principal, Wading River, New York) and Stephen Irvin Saunders IV, (CRD #2873747, Registered Principal, Tampa, Florida) submitted an Offer of Settlement in which the firm was fined $100,000, of which $45,000 [...]