Michael Anthony White (CRD # 1281593, Registered Representative, Texarkana, Arkansas) 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 two months. The fine must be paid either immediately upon White’s reassociation with a FINRA member firm following his [...]

Richard Totoy (CRD # 5423558, Registered Representative, New York, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Totoy converted $1,000 from an elderly customer by using an automatic teller machine (ATM) card to withdraw the funds from the customer’s account without her knowledge [...]

Julie Sheau Lin Ting (CRD # 1683235, Registered Representative, Monterey Park, California) submitted a Letter of Acceptance, Waiver and Consent in which she was suspended from association with any FINRA member in any capacity for 12 months. In light of Ting’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, Ting [...]

Alan Ray Tatgenhorst (CRD # 1613125, Registered Representative, Tucson, California) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Tatgenhorst failed to respond to FINRA requests for information and documents. The findings stated that Tatgenhorst borrowed a total of $33,028 from his member firm’s customers, signed [...]

Michael Scott Silva (CRD # 3056607, Registered Supervisor, Petaluma, 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 10 business days. Without admitting or denying the findings, Silva consented to the described sanctions and to the entry [...]

Robert A. Signore (CRD # 5401120, Registered Representative, Yonkers, New York) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Signore prepared checks totaling $233,732.40, signed the customer’s name to the checks, and used the checks to purchase a variable annuity for the customer’s account, without [...]

Hugh Alexander Ross Sr. (CRD # 3130376, Registered Representative, Wenatchee, 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 one year. Without admitting or denying the findings, Ross consented to the described sanctions and to the entry [...]

James Robert Pecoraro (CRD # 2440231, Registered Representative, Huntington, 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 30 days. Without admitting or denying the findings, Pecoraro consented to the described sanctions and to the entry [...]

Matthew Norman O’Brien (CRD # 4655082, Registered Representative, West Branch, Michigan) 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 signed the [...]

Lisa Renee Mello (CRD # 1465948, Registered Principal, Lafayette, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $8,000 and suspended from association with any FINRA member in a Financial and Operations Principal (FINOP) capacity for six months. Without admitting or denying the findings, Mello consented to the described sanctions [...]

Adam George Meister (CRD # 4354400, Registered Representative, Evans, Georgia) was fined $20,000, suspended from association with any FINRA member in any capacity for 15 months and required to requalify by exam before re-entering the securities industry. The fine is due and payable when and if Meister seeks to re-enter the securities industry. The sanctions [...]

Kevin Bradley Martin (CRD # 1704674, Registered Principal, El Dorado Hills, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $20,000 and suspended from association with any FINRA member in any principal capacity for six months. Without admitting or denying the findings, Martin consented to the described sanctions and to [...]

Steven Michael Mandala (CRD # 4726839, Registered Representative, Napanoch, 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, Mandala consented to the described sanction and to the entry of findings that he completed an [...]

Stephen Dee Linge (CRD # 4604676, Registered Representative, Murray, Utah) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for two years. In light of Linge’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, Linge consented to [...]

David Alan Kossak (CRD # 1137212, Registered Representative, Jacksonville, Florida) 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 one year. The fine must be paid either immediately upon Kossak’s reassociation with a FINRA member firm following his [...]

Timothy John Imhof (CRD # 2191854, Registered Representative, Staten Island, 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 twelve months. The fine must be paid either immediately upon Imhof’s reassociation with a FINRA member firm [...]

Nicholas Bryan Hemby (CRD # 3248689, Registered Representative, Bridgehampton, 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, Hemby consented to the described sanction and to the entry of findings that, while employed as [...]

Jamie Sutton Hardy (CRD # 4753879, Associated Person, Raleigh, North Carolina) 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, Hardy consented to the described sanction and to the entry of findings that she misappropriated $33,445.82 [...]

Darryl Wayne Golter (CRD # 4883979, Registered Representative, Allen, 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, Golter consented to the described sanction and to the entry of findings that he failed to forward [...]

Scott Howard Goldstein (CRD # 1630008, Registered Principal, Delray Beach, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $100,000, suspended from association with any FINRA member in any principal capacity for one year and required to complete eight hours of AML training. Goldstein must register within 60 days of [...]

Thomas R. Gilman (CRD # 4209284, Registered Representative, Henderson, Nevada) was fined $60,000 and suspended from association with any FINRA member in any capacity for 15 months. The sanctions were based on findings that Gilman participated in private securities transactions involving the purchase by his member firm’s customer of convertible debentures another company offered, and [...]

George Stephen Conwill (CRD # 1387805, Registered Principal, Dripping Springs, 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, Conwill consented to the described sanction and to the entry of findings that, on his member [...]

Robin Fran Bush (CRD # 1994431, Registered Principal, Coral Springs, Florida) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000, suspended from association with any FINRA member in any principal capacity for one year and required to complete eight hours of AML training prior to reassociation with a member firm [...]

Richard Albert Bush (CRD # 2457963, Registered Principal, Coral Springs, 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 principal capacity for six months. The fine must be paid either immediately upon Bush’s reassociation with a FINRA member firm [...]

Paul Edward Burkemper (CRD # 2222925, Registered Principal, 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. Without admitting or denying the findings, Burkemper consented to the described sanction and to the entry of findings that he engaged in [...]

Rodney Louis Bruck (CRD # 1670280, Registered Representative, Wilsonville, 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, Bruck consented to the described sanction and to the entry of findings that a customer wrote a [...]

Kenneth Brown (CRD # 1325762, Registered Principal, Coral Springs, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, suspended from association with any FINRA member in any principal capacity for one year and required to complete eight hours of AML training. The fine must be paid either immediately upon [...]

Artha Lee Brooks (CRD # 4528122, Registered Principal, Ocean Springs, Mississippi) 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, Brooks consented to the described sanction and to the entry of findings that he accepted $5,000 [...]

Michael R. Brents (CRD # 4437074, Registered Representative, Church Hill, Tennessee) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Brents has agreed to continue to cooperate with FINRA in an on-going investigation relating to this matter. Without admitting or denying the [...]

Cislyn Louise Beckford (CRD # 3195313, Registered Representative, Springfield Gardens, New York) 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, Beckford consented to the described sanction and to the entry of findings that she misappropriated [...]

Douglas Joe Barker (CRD # 1290719, Registered Supervisor, Garland, Texas) was fined $125,000 and suspended from association with any FINRA member in any capacity for six months. The fine shall be due and payable if and when Barker returns to the securities industry. The sanctions were based on findings that Barker recommended and effected unsuitable [...]

Richard Michael Barber (CRD # 1636416, Registered Supervisor, Chatham, New Jersey) submitted an Offer of Settlement in which he was fined $5,000, barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for one month. The fine must be paid either immediately upon [...]

Guy Steven Amico (CRD # 1723157, Registered Principal, Wellington, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $100,000, suspended from association with any FINRA member in any principal capacity for four months and required to complete eight hours of AML training. Amico is to register for AML training within [...]

Jerry Isaac Alboher (CRD # 2598457, Registered Representative, West Palm Beach, Florida) 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 Alboher’s reassociation with a FINRA member firm [...]

Stephen Rudolph Rodgers (CRD # 1870455, Registered Principal, Ruston, Louisiana), NWT Financial Group, LLC (CRD # 140145, Issaquah, Washington), and David Eric Niederkrome (CRD # 2220569, Registered Principal, Snoqualmie, Washington) submitted a Letter of Acceptance, Waiver and Consent in which the firm, Niederkrome and Rodgers and were censured and fined $10,000, jointly and severally. The [...]

David Eric Niederkrome (CRD # 2220569, Registered Principal, Snoqualmie, Washington), NWT Financial Group, LLC (CRD # 140145, Issaquah, Washington), and Stephen Rudolph Rodgers (CRD # 1870455, Registered Principal, Ruston, Louisiana) submitted a Letter of Acceptance, Waiver and Consent in which the firm, Niederkrome and Rodgers and were censured and fined $10,000, jointly and severally. The [...]

NWT Financial Group, LLC (CRD # 140145, Issaquah, Washington), David Eric Niederkrome (CRD # 2220569, Registered Principal, Snoqualmie, Washington) and Stephen Rudolph Rodgers (CRD # 1870455, Registered Principal, Ruston, Louisiana) submitted a Letter of Acceptance, Waiver and Consent in which the firm, Niederkrome and Rodgers and were censured and fined $10,000, jointly and severally. The [...]

Anthony Joseph DiGiovanni Jr. (CRD # 4787615, Registered Representative, East Hanover, New Jersey), Seaboard Securities, Inc. (CRD # 755, Florham Park, New Jersey), Anthony Joseph DiGiovanni Sr. (CRD # 601698, Registered Principal, Florham Park, New Jersey), and Sonya Terez Still (CRD # 4235212, Registered Principal, Jersey City, New Jersey) submitted an Offer of Settlement in [...]

Sonya Terez Still (CRD # 4235212, Registered Principal, Jersey City, New Jersey), Seaboard Securities, Inc. (CRD # 755, Florham Park, New Jersey), Anthony Joseph DiGiovanni Sr. (CRD # 601698, Registered Principal, Florham Park, New Jersey), and Anthony Joseph DiGiovanni Jr. (CRD # 4787615, Registered Representative, East Hanover, New Jersey) submitted an Offer of Settlement in [...]

Anthony Joseph DiGiovanni Sr. (CRD # 601698, Registered Principal, Florham Park, New Jersey), Seaboard Securities, Inc. (CRD # 755, Florham Park, New Jersey), Sonya Terez Still (CRD # 4235212, Registered Principal, Jersey City, New Jersey) and Anthony Joseph DiGiovanni Jr. (CRD # 4787615, Registered Representative, East Hanover, New Jersey) submitted an Offer of Settlement in [...]

Seaboard Securities, Inc. (CRD # 755, Florham Park, New Jersey), Anthony Joseph DiGiovanni Sr. (CRD # 601698, Registered Principal, Florham Park, New Jersey), Sonya Terez Still (CRD # 4235212, Registered Principal, Jersey City, New Jersey) and Anthony Joseph DiGiovanni Jr. (CRD # 4787615, Registered Representative, East Hanover, New Jersey) submitted an Offer of Settlement in [...]

Kent Duane Sweat (CRD # 1157627, Registered Principal, Heber, Utah) and Intermountain Financial Services, Inc. (CRD # 15386, Heber City, Utah) submitted an Offer of Settlement in which the firm was censured and fined $12,750. Sweat was fined $7,500 and suspended from association with any FINRA member in any principal capacity for five business days. [...]

Intermountain Financial Services, Inc. (CRD # 15386, Heber City, Utah) and Kent Duane Sweat (CRD # 1157627, Registered Principal, Heber, Utah) submitted an Offer of Settlement in which the firm was censured and fined $12,750. Sweat was fined $7,500 and suspended from association with any FINRA member in any principal capacity for five business days. [...]

FINRA Orders SunTrust Investment Services to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions
Sanction Includes $540,000 in Restitution to Disadvantaged Customers; Broker Barred in Separate Action, Former Branch Manager Suspended
The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges [...]

FINRA Orders SunTrust Investment Services to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions
Sanction Includes $540,000 in Restitution to Disadvantaged Customers; Broker Barred in Separate Action, Former Branch Manager Suspended
The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges [...]

FINRA Orders SunTrust Investment Services to Pay $1.44 Million for Unsuitable UIT, Closed-End Fund and Mutual Fund Transactions
Sanction Includes $540,000 in Restitution to Disadvantaged Customers; Broker Barred in Separate Action, Former Branch Manager Suspended
The Financial Industry Regulatory Authority (FINRA) has ordered SunTrust Investment Services, Inc. of Atlanta, GA, to pay $1.44 million to resolve charges [...]

Daren Frances Dorval (CRD # 4324418, Registered Principal, Staten Island, 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, Dorval consented to the described sanctions and to the entry of findings that he established an account for a customer at [...]

Joseph Anthony Devito (CRD # 1479780, Registered Principal, Cortlandt Manor, 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, Devito consented to the described sanctions and to the entry of findings that he failed to enforce his member firm’s written [...]

Todd Clinton Wirick (CRD # 2229990, Registered Representative, Sylvania, Ohio) 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 eight months. Without admitting or denying the findings, Wirick consented to the described sanctions and to the entry of [...]

Matthew K. Wilhelmi (CRD # 5386900, Registered Representative, Lake in the Hills, Illinois) 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 Wilhelmi’s reassociation with a FINRA member [...]