Marc Winters (CRD # 4053113, Registered Representative, Chatsworth, California)  and Lisa Ann Tomiko Nouchi (CRD # 2367719, Registered Representative, Fairfield, California) were suspended from association with any FINRA member in any capacity for 90 days. Nouchi and Winters were also fined $10,000 and $19,882, respectively. The NAC imposed the sanctions following an appeal of an [...]

Lisa Ann Tomiko Nouchi (CRD # 2367719, Registered Representative, Fairfield, California) and Marc Winters (CRD # 4053113, Registered Representative, Chatsworth, California) were suspended from association with any FINRA member in any capacity for 90 days. Nouchi and Winters were also fined $10,000 and $19,882, respectively. The NAC imposed the sanctions following an appeal of an [...]

Alan Frank Pacella (CRD # 1689031, Registered Representative, Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000. Without admitting or denying the allegations, Pacella consented to the described sanctions and to the entry of findings that he participated in the sale of unregistered securities. The [...]

Ronen Zakai (CRD # 4244908, Registered Representative, Hewlett, 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 30 days. Without admitting or denying the findings, Zakai consented to the described sanctions and to the entry of [...]

Michael Gene Walker (CRD # 4010742, Registered Representative, Spring, 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 six months. The fine must be paid either immediately upon Walker’s reassociation with a FINRA member firm following his [...]

Michael Lon Vines (CRD # 2552188, Registered Principal, Charlotte, North Carolina) was fined $10,000 and suspended from association with any FINRA member in any principal capacity for one year after the NAC found that Vines approved the falsification of IRA adoption agreements, in violation of NASD Rule 2110. Although neither party appealed the OHO decision, [...]

Jeffrey Robert Unruh (CRD # 2758509, Registered Representative, Phoenixville, Pennsylvania) 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 18 months. The fine must be paid either immediately upon Unruh’s reassociation with a FINRA member firm following his [...]

Louis Tomasello III (CRD # 2260987, Registered Representative, Salem, New Hampshire) 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, Tomasello consented to the described sanction and to the entry of findings that he misappropriated $5,716 from his member [...]

Mitchell Ted Toland (CRD # 2038802, Registered Representative, New York, New York) submitted an Offer of Settlement in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for 45 days. Without admitting or denying the allegations, Toland consented to the described sanctions and to the entry of findings [...]

Evan Taber (CRD # 1892751, Registered Representative, Plantation, 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 60 days. Without admitting or denying the findings, Taber consented to the described sanctions and to the entry of findings [...]

Robert Wesley Stout (CRD # 1356443, Registered Principal, Arlington, Texas) submitted an Offer of Settlement in which he was fined $20,000 and suspended from association with any FINRA member in any principal capacity for 20 business days. Without admitting or denying the allegations, Stout consented to the described sanctions and to the entry of findings [...]

Nicos Achillea Stephanou (CRD # 4397375, Registered Representative, Nicosia, Cyprus) 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, Stephanou consented to the described sanction and to the entry of findings that he willfully and knowingly, [...]

Scott Allan Shapiro (CRD # 2687108, Registered Principal, Syosset, 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, Shapiro consented to the described sanction and to the entry of findings that he caused his member firm to [...]

Kimberly Sue Rutherford (CRD # 4800205, Registered Representative, Roanoke, Virginia) 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, Rutherford consented to the described sanction and to the entry of findings that, in connection with the [...]

Michael David Reis (CRD # 4684384, Registered Representative, Happy Valley, 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, Reis consented to the described sanction and to the entry of findings that he failed to [...]

Oswald Victor Paredes (CRD # 4271043, Registered Representative, Belmont, Massachusetts) 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, Paredes consented to the described sanction and to the entry of findings that he linked his 529 [...]

Thomas Wayne O’Keefe (CRD # 4715811, Registered Representative, Las Vegas, 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, O’Keefe consented to the described sanction and to the entry of findings that he took funds [...]

Kevin Paul O’Brien (CRD # 1782288, Registered Representative, Anderson, Ohio) 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, O’Brien consented to the described sanction and to the entry of findings that he engaged in outside [...]

Joshua William Moss (CRD # 5535804, Associated Person, Atlanta, Georgia) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Moss failed to respond to requests for information. The findings stated that Moss willfully failed to disclose material facts on his Form U4. (FINRA Case # 2008014116901)
We [...]

Christopher Michael Morris (CRD # 3140803, Registered Representative, Murrells Inlet, South Carolina) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Morris failed to appear for a FINRA on-the-record interview. (FINRA Case # 2007009430001)
We take cases on a purely contingency fee basis against brokerage firms who [...]

Michael C. Metters (CRD # 3124383, Registered Representative, Layton, Utah) 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 90 days. The fine must be paid either immediately upon Metter’s reassociation with a FINRA member firm following his [...]

Lorraine Leonie Macko (CRD # 1937209, Registered Representative, Miami, Florida) was fined $6,000 and suspended from association with any FINRA member in any capacity for one year. The fines shall be due and payable upon Macko’s return to the securities industry. The sanctions were based on findings that Macko misused her member firm’s funds by [...]

Yvonne Linke (CRD # 4531694, Registered Representative, Baltimore, Maryland) 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, Linke consented to the described sanction and to the entry of findings that she failed to respond to [...]

Christopher Louis Latorra (CRD # 4272963, Registered Principal, Jersey City, 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 three months. The fine must be paid either immediately upon Latorra’s reassociation with a FINRA member firm [...]

Paul Allen Kuiper (CRD # 1133335, Registered Supervisor, Holland, 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 two months. Without admitting or denying the findings, Kuiper consented to the described sanctions and to the entry of [...]

Kelvin Koma (CRD # 5327866, Registered Representative, Lincolnwood, 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, Koma consented to the described sanction and to the entry of findings that he wrongfully obtained ATM cards that belonged to [...]

Stuart Williams Kasin (CRD # 3105331, Registered Representative, Ashburn, Virginia) 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, Kasin consented to the described sanction and to the entry of findings that he borrowed at least [...]

Anastas Iliev Kalaidjiev (CRD # 5498837, Associate Person, Sacramento, California) was fined $5,000 and suspended from association with any FINRA member in any capacity for two years and an additional 90 days; the suspensions shall run consecutively. The fine is due and payable if and when Kalaidjiev’s applies to associate with a member firm following [...]

Jennifer Anne Jordan (CRD # 2814586, Registered Representative, Portland, Oregon) was fined $20,000 and suspended from association with any FINRA member in any capacity for two years. The National Adjudicatory Council (NAC) imposed the sanctions following an appeal of an Office of Hearing Officers (OHO) decision. The sanctions were based on findings that Jordan failed [...]

William Alson Johnson (CRD # 1518066, Registered Representative, Prospect, Kentucky) 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, Johnson consented to the described sanction and to the entry of findings that he failed to observe [...]

David Michael Isabella (CRD # 2515834, Registered Representative, Hilton, 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, Isabella consented to the described sanction and to the entry of findings that he fraudulently induced customers, most of [...]

Jesse John Hinkley (CRD # 5098659, Registered Representative, New Fairfield, Connecticut) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hinkley made material misrepresentations and omissions to customers and failed to respond to FINRA requests for testimony. The findings stated that Hinkley engaged in improper telephone [...]

Ronald Edward Hardy Jr. (CRD # 2668695, Registered Representative, Port Jefferson Station, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Hardy falsified new account records that the customers did not authorize and, in some cases, contained extensive false information including inaccurate birth dates, [...]

Craig William Hansen (CRD # 5102425, Registered Representative, Fords, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, ordered to pay $1,000, plus interest, in restitution to a customer, and suspended from association with any FINRA member in any capacity for one month. The fine and restitution must [...]

Kerry Lamont Hairston (CRD # 2804353, Registered Representative, Buford, 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 Hairston’s reassociation with a FINRA member firm following his [...]

Jason Edward Greenspon (CRD # 5474906, Registered Representative, West Des Moines, Iowa) 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, Greenspon consented to the described sanction and to the entry of findings that he failed [...]

Stephen Paul Grantham (CRD # 4673736, Registered Representative, Tulsa, Oklahoma) 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, Grantham consented to the described sanction and to the entry of findings that he converted $11,663.76 of customers’ funds and [...]

William Ambos Gill (CRD # 221678, Registered Representative, Shaker Heights, Ohio) 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, Gill consented to the described sanction and to the entry of findings that he withdrew $13,000 [...]

Amanda Michelle Fleites (CRD # 4884432, Registered Representative, Urbandale, Iowa) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Fleites failed to respond to FINRA request for information. The findings stated that Fleites willfully failed to disclose material information on her Form U4. (FINRA Case # [...]

Clemenceau Dumont (CRD # 2110500, Registered Representative, Roselle, 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, Dumont consented to the described sanction and to the entry of findings that he received $6,354.71 in [...]

Stephen John Doyle (CRD # 501148, Registered Representative, Brewster, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Doyle failed to respond to FINRA requests for information and willfully failed to disclose material information on his Form U4. (FINRA Case # 2008012812301)
We take cases [...]

Alfred Thomas Dowe Jr. (CRD # 2952411, Registered Representative, Roanoke, Virginia) 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, Dowe consented to the described sanction and to the entry of findings that he failed to [...]

Ruben A. Cruz aka Ruben Cruz-Alvarez (CRD # 5070572, Registered Representative, Avondale, Arizona) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Cruz failed to respond to FINRA requests for information. The findings also stated that Cruz failed to disclose material information on his Form U4. [...]

Walter Lee Coulter II (CRD # 2960749, Registered Representative, Riverside, 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 two years. The fine must be paid either immediately upon Coulter’s reassociation with a FINRA member firm following [...]

Jessica Ann Condosta (CRD # 4506532, Registered Representative, Olmsted Township, Ohio) 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 Condosta’s reassociation with a FINRA member firm following [...]

Rodney Lee Cantrell (CRD # 1303831, Registered Representative, Washington, North Carolina) 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 10 business days. Without admitting or denying the findings, Cantrell consented to the described sanctions and to [...]

Dennis Brown (CRD # 3022551, Registered Representative, Springfield, Massachusetts) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Brown failed to respond to FINRA requests for information. The findings stated that Brown engaged in outside business activities without providing written notice to his member firm. (FINRA [...]

William Paul Brewer Jr. (CRD # 2827002, Registered Representative, Greensboro, 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 two months. The fine must be paid either immediately upon Brewer’s reassociation with a FINRA member firm [...]

John Carson Brake Sr. (CRD # 3030427, Registered Representative, Vinton, Virginia) 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 15 business days. Without admitting or denying the findings, Brake consented to the described sanctions and to the [...]

Alex Amner Borukhov (CRD # 4389429, Registered Representative, Brooklyn, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Borukhov failed to appear for a FINRA on-the-record interview. The findings stated that Borukhov failed to timely amend his Form U4 to disclose material information and [...]