Jeffery Arden Wicks (CRD # 2732177, Registered Representative, Salix, Pennsylvania) 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, Wicks consented to the described sanction and to the entry of findings that he misappropriated at [...]

Steven Craig Vanderhoof (CRD # 2306547, Registered Principal, Santa Ana, California) 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. Without admitting or denying the findings, Vanderhoof consented to the described sanctions and to the [...]

Richard Joseph Stratman (CRD # 5302491, Registered Representative, Hamilton, 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, Stratman consented to the described sanction and to the entry of findings that, without permission and authority, [...]

William Gregory Slonecker (CRD # 3048481, Registered Representative, Nashville, Tennessee) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Slonecker recommended and executed unsuitable variable annuity contract replacements or switches involving customers without regard for their age or financial backgrounds, and received $85,000 in commissions. The [...]

Anne Marie Schlenker, aka Anne Marie Rippy (CRD # 4536970, Registered Representative, Bozeman, Montana) 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, Schlenker consented to the described sanction and to the entry of findings that [...]

Domenic Carlo Ruggiero (CRD # 3011030, Registered Representative, Middleburg 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, Ruggiero consented to the described sanction and to the entry of findings that, in his capacity [...]

Stephen N. Richards (CRD # 4195178, Registered Representative, Houston, 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, Richards consented to the described sanction and to the entry of findings that he made a series [...]

James Michael Rapuano Jr. (CRD # 4900969, Registered Representative, Branford, Connecticut) 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, Rapuano consented to the described sanction and to the entry of findings that he made oral [...]

Craig Lee Randall (CRD # 1583963, Registered Principal, Fountain Valley, California) submitted an Offer of Settlement in which he was censured, fined $35,000 and suspended from association with any FINRA member in any capacity for seven months. Without admitting or denying the allegations, Randall consented to the described sanctions and to the entry of findings [...]

Michael Alcide Poutre II (CRD # 2482252, Registered Principal, Woodland Hills, California) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 30 days. In light of Poutre’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Poutre [...]

Steven M. Oates (CRD # 5631816, Registered Representative, Glendale, Arizona) 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, Oates consented to the described sanction and to the entry of findings that he misappropriated $10,000 from [...]

John Marcus Newkirk Jr. (CRD # 2708577, Registered Principal, Eaton, Ohio) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Newkirk converted $4,550 he received from customers for deposit into their accounts. The findings stated that Newkirk provided a firm customer with a false account document [...]

Christopher Brooks Mintz (CRD # 2754673, Registered Principal, Raleigh, North Carolina) 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, Mintz consented to the described sanction and to the entry of findings that he falsified journal [...]

Allen Pond Mecham (CRD # 1929783, Registered Representative, Logan, Utah) 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, Mecham consented to the described sanction and to the entry of findings that he failed to respond [...]

Marcia Jenay McLemore (CRD # 1881990, Registered Principal, West Monroe, Louisiana) was barred from association with any FINRA member in any capacity. The sanction was based on findings that McLemore misappropriated member firm funds by using expense reimbursements for personal expenses, charging personal expenses to her corporate credit card and failing to pay the bills [...]

Amy Lou Marsh (CRD # 2538280, Registered Representative, Eldred, Pennsylvania) 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 six months. The fine must be paid either immediately upon Marsh’s reassociation with a FINRA member firm following her [...]

Louis John Liberatore Sr. (CRD # 2267036, Registered Representative, Bluepoint, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for three months. In light of Liberatore’s financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, [...]

John Leisen Kreuz (CRD # 836558, Registered Principal Las Vegas, Nevada) 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 Kreuz’ reassociation with a FINRA member firm following [...]

Patrick Soungook Kim (CRD # 3132361, Registered Representative, North Caldwell, 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, Kim consented to the described sanction and to the entry of findings that he falsified [...]

Clint Harley Keener (CRD # 2250146, Registered Representative, Sunbury, Ohio) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for two months. Without admitting or denying the findings, Keener consented to the described sanctions and to the entry of [...]

John Allan Jones (CRD # 2558599, Registered Principal, Roswell, Georgia) submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for four months. The fine must be paid either immediately upon Jones’ reassociation with a FINRA member firm following his suspension, or prior [...]

Peggy Sue Harrell (CRD # 4460320, Registered Representative, Brandon, Mississippi) 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, Harrell consented to the described sanction and to the entry of findings that she obtained loans from her member firm’s [...]

Gregory Earl Hafen (CRD # 4312542, Registered Principal, Cerritos, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $48,000, which includes disgorgement of commissions, and suspended from association with any FINRA member in any capacity for seven months. The fine must be paid either immediately upon Hafen’s reassociation with a [...]

Steven Emery Floyd (CRD # 4894766, Registered Representative, West Jordan, Utah) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Floyd requested and received temporary automated teller machine (ATM) cards in customers’ names and used the cards to withdraw a total of more than $15,000 from [...]

Traci Renae Faulks (CRD # 5142663, Registered Representative, Lucasville, Ohio) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Faulks misappropriated customer insurance premium payments totaling over $9,600 from an insurance company by comingling her personal cash with cash premium payments and using the funds for [...]

David John DeWald (CRD # 2782171, Registered Representative, Keller, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity and ordered to pay $124,519.03, plus interest, in restitution. The restitution must be paid either immediately upon DeWald’s reassociation with a FINRA member [...]

William Ray Collins Jr. (CRD # 4124933, Registered Representative, Vandalia, 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, Collins consented to the described sanction and to the entry of findings that he forged customers’ [...]

Jason Roberts Coles (CRD # 2632270, Registered Representative, Rancho Santa Margarita) 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. Without admitting or denying the findings, Coles consented to the described sanctions and to the entry [...]

Renee Lynn Coil (CRD # 3044399, Registered Representative, Tierra Verde, Florida) submitted a Letter of Acceptance, Waiver and Consent in which she was suspended from association with any FINRA member in any capacity for one month. In light of Coil’s financial status, no monetary sanctions were imposed. Without admitting or denying the findings, Coil consented [...]

Andrew Charles Callihan (CRD # 4427620, Registered Representative, Lexington, Kentucky) 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, Callihan consented to the described sanction and to the entry of findings that he withdrew, or caused the withdrawal of, [...]

Nathan Joel Brenowitz (CRD # 1587548, Registered Principal, Woodstock, 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, Brenowitz consented to the described sanction and to the entry of findings that he falsified a [...]

Michael Aaron Brady (CRD # 3121177, Registered Principal, Bolton, Connecticut) 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, Brady consented to the described sanction and to the entry of findings that he converted a total [...]

Atiya Karima Bell (CRD # 5407415, Registered Representative, Newark, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $2,863, which includes disgorgement of commissions received, and suspended from association with any FINRA member in any capacity for 10 business days. The fine must be paid either immediately upon Bell’s [...]

Russell Kent Childs (CRD # 1192883, Registered Principal, Spring, Texas), Cambridge Legacy Securities, L.L.C. (CRD # 103722, Dallas, Texas), and Oran Ben Carroll (CRD # 1295071, Registered Principal, Granbury, Texas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $50,000 and ordered to pay $21,864.74, plus interest, in restitution [...]

Oran Ben Carroll (CRD # 1295071, Registered Principal, Granbury, Texas), Cambridge Legacy Securities, L.L.C. (CRD # 103722, Dallas, Texas), and Russell Kent Childs (CRD # 1192883, Registered Principal, Spring, Texas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $50,000 and ordered to pay $21,864.74, plus interest, in restitution [...]

Cambridge Legacy Securities, L.L.C. (CRD # 103722, Dallas, Texas), Oran Ben Carroll (CRD # 1295071, Registered Principal, Granbury, Texas), and Russell Kent Childs (CRD # 1192883, Registered Principal, Spring, Texas) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured, fined $50,000 and ordered to pay $21,864.74, plus interest, in restitution [...]

FINRA Hearing Panel Bars Broker for Manipulating Stock Price Downward to Benefit Hedge Fund Client
A Financial Industry Regulatory Authority (FINRA) hearing panel has permanently barred a former Deutsche Bank broker from the securities industry for manipulating the price of Monogram Biosciences (MGRM) stock in an effort to enrich a hedge fund client, himself and his [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

FINRA Fines Phoenix Derivatives Group, Eight Brokers at Five Firms A Total of $4.3 Million for Improper Communications About Customers’ Interdealer Brokerage Rate Negotiations
FINRA’s Investigation Is Continuing
The Financial Industry Regulatory Authority (FINRA) announced that it has imposed fines totaling $4.3 million against Phoenix Derivatives Group, LLC of New York and eight brokers–three employed at Phoenix [...]

Marshalle Adine Wright (CRD # 2516024, Registered Representative, Barto, Pennsylvania) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $15,000 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Wright’s reassociation with a FINRA member firm following her [...]

Daniel Lee Widmer (CRD # 1304553, Registered Representative, Minocqua, Wisconsin) 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 Widmer’s reassociation with a FINRA member firm following his [...]

Michael Frederick Siegel (CRD # 1001893, Registered Representative, Beverly Hills, California) was fined a total of $30,000 and suspended from association with any FINRA member in any capacity for two consecutive six-month terms. The United States Court of Appeals for the DC Circuit imposed the sanctions following appeal of an SEC decision affirming a NAC [...]

Charles Wyman Shirey (CRD # 1223761, Registered Principal, Greenville, Texas) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $7,500 and suspended from association with any FINRA member in any capacity for 30 business days. The fine must be paid either immediately upon Shirey’s reassociation with a FINRA member firm following [...]