Connie Hong Tao Zhao (CRD # 4592497, Registered Representative, Fresh Meadows, 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, Zhao consented to the described sanction and to the entry of findings that she [...]

Robert John Zamecki (CRD # 475757, Registered Principal, Carmel, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $12,500 and suspended from association with any FINRA member in any principal capacity for 30 business days. Without admitting or denying the findings, Zamecki consented to the described sanctions and to the [...]

Marilyn Louise Yamanaka (CRD # 2650202, Registered Representative, Clovis, California) 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 eight months. In light of Yamanaka’s financial status, a $5,000 fine was imposed. The fine must be paid either [...]

Andrew Thomas Wrigley (CRD # 4820238, Registered Representative, Fair Haven, 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 one month. Without admitting or denying the findings, Wrigley consented to the described sanctions and to the [...]

Mahmood Hasan Usmani, (CRD # 5727193, Associated Person, Bartlett, Tennessee) 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 disgorge $24,286.67 in unlawful profits. Without admitting or denying the findings, Usmani consented to the described sanctions and to the [...]

Daniel J. Trolaro (CRD # 4260690, Registered Representative, Oakland, 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, Trolaro consented to the described sanction and to the entry of findings that he misappropriated approximately [...]

Jenny Quyen Ta (CRD # 2538602, Registered Principal, Westminster, California) 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 one year. The fine must be paid either immediately upon Ta’s reassociation with a FINRA member firm following her [...]

Larrye Alfie Smith (CRD # 1131839, Registered Principal, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $7,500 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Smith’s reassociation with a FINRA member firm following [...]

Robert Charles Pollock (CRD # 4490116, Registered Representative, Palm Harbor, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $94,650, which includes disgorgement of $34,650 in commissions, suspended from association with any FINRA member in any capacity for one year, and ordered to pay $76,922, plus interest, in restitution to [...]

Lynda Corean Paul (CRD # 2711775, Registered Representative, Gurnee, Illinois) 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 two months. Without admitting or denying the findings, Paul consented to the described sanctions and to the entry of [...]

Claude Steven Mosley (CRD # 1161832, Registered Representative, Myrtle Beach, South Carolina) 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 four months. The fine must be paid either immediately upon Mosley’s reassociation with a FINRA member firm [...]

Chanse Keith Menendez Sr. (CRD # 2448467, Registered Representative, Hauppauge, New York) was barred from association with any FINRA member in any capacity and ordered to pay $44,930.03 in restitution, plus interest, to customers. The sanctions were based on findings that Menendez engaged in excessive and unsuitable trading in customers’ accounts when he did not [...]

Lyndall Conway Medearis Jr. (CRD # 2394572, Registered Principal, Bellaire, 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 90 days. The fine must be paid either immediately upon Medearis’ reassociation with a FINRA member firm following [...]

Vincent Michael McGuire (CRD # 1026265, Registered Representative, Sandy, Utah) submitted an Offer of Settlement in which he was fined $15,000 and suspended from association with any FINRA member in any capacity for 45 days. The fine must be paid either immediately upon McGuire’s reassociation with a FINRA member firm following his suspension, or prior [...]

Vincent Patrick McCrudden (CRD # 1762690, Registered Principal, Dix Hills, New York) was fined $50,000 and suspended from association with any FINRA member in any capacity for one year. The NAC imposed the sanctions following McCrudden’s appeal of an OHO decision. The sanctions were based on findings that McCrudden induced his firm to file a [...]

Leslie David Kruse (CRD # 4541523, Registered Representative, Sioux Falls, South Dakota) 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. The fine must be paid either immediately upon Kruse’s reassociation with a FINRA member [...]

Joe Michael Kirk (CRD # 2985434, Registered Representative, Sylmar, 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 four months. Without admitting or denying the findings, Kirk consented to the described sanctions and to the entry of [...]

Herbert Tyrone Hunt (CRD # 1632226, Registered Supervisor, Lyndhurst, Ohio) 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, Hunt consented to the described sanction and to the entry of findings that he effected discretionary transactions in a public [...]

Antonio Herrero-Rovira (CRD # 1878587, Registered Principal, Rio Piedras, Puerto Rico) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Herrero-Rovira converted approximately $203,000 in customer funds by forging customers’ signatures on Letters of Authorization (LOAs) and firm checks issued pursuant to the LOAs, and depositing [...]

Bruce Jude Guarino (CRD # 1096719, Registered Principal, Huntington, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000, ordered to pay $41,873.47, plus interest, in restitution to customers, and suspended from association with any FINRA member in any supervisory capacity for 30 days. The fine must be paid [...]

Oscar Gerardo Grados (CRD # 4600863, Registered Representative, Tacoma, Washington) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Grados made unsuitable recommendations to customers that they obtain home equity loans, deposit the proceeds in their securities accounts at his member firm and use the proceeds [...]

Sharon Elsene Givens (CRD # 3208845, Associated Person, Frankfort, Kentucky) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Givens, as her member firm’s bookkeeper, had access to the firm’s checking account and forged the firm’s treasurer’s signature on checks totaling approximately $61,016.08 written against the [...]

Edmond Sloan Duvall (CRD # 2102165, Registered Representative, Fayetteville, Arkansas) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for 12 months. In light of Duvall’s financial status, no monetary sanction was imposed. Without admitting or denying the findings, Duvall consented to [...]

Chad R. Duncan (CRD # 4119031, Registered Principal, Hermitage, Pennsylvania) 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, Duncan consented to the described sanctions and to the entry of findings that without permission or authority, [...]

David William Dube (CRD # 3041983, Registered Principal, St. Petersburg, 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, Dube consented to the described sanction and to the entry of findings that while serving as [...]

Winston John Cutter Jr. (CRD # 4083287, Registered Representative, Auburn, California) submitted an Offer of Settlement in which he was fined $12,500 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Cutter’s reassociation with a FINRA member firm following his suspension, or [...]

Leonard Raymond Connell (CRD # 1495240, Registered Representative, 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 three months. The fine must be paid either immediately upon Connell’s reassociation with a FINRA member firm following [...]

Stuart Gregory Burchard CRD # 2264551, Registered Principal, San Francisco, 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, Burchard consented to the described sanction and to the entry of findings that a member firm, acting through Burchard, [...]

Peter Michael Blanco (CRD # 2274508, Registered Representative, Brightwaters, New York) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $100,000, which includes disgorgement of $85,000 in commissions received, and suspended from association with any FINRA member in any capacity for 15 months. The fine must be paid either immediately upon [...]

George Abbott Berry (CRD # 4319797, Registered Representative, Tuscaloosa, Alabama) 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, Berry consented to the described sanction and to the entry of findings that he serviced a brokerage [...]

Dennis Clare Tubbergen (CRD # 2505625, Registered Principal, Fremont, Michigan) and USA Advanced Planners, Inc. (CRD 131282, Grand Rapids, Michigan), Michael Timothy Rodman (CRD # 1260483, Registered Principal, Rancho Santa Fe, California) and  submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and ordered to pay, jointly and severally with [...]

Michael Timothy Rodman (CRD # 1260483, Registered Principal, Rancho Santa Fe, California) and USA Advanced Planners, Inc. (CRD 131282, Grand Rapids, Michigan),  and Dennis Clare Tubbergen (CRD # 2505625, Registered Principal, Fremont, Michigan) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and ordered to pay, jointly and severally with [...]

USA Advanced Planners, Inc. (CRD 131282, Grand Rapids, Michigan), Michael Timothy Rodman (CRD # 1260483, Registered Principal, Rancho Santa Fe, California) and Dennis Clare Tubbergen (CRD # 2505625, Registered Principal, Fremont, Michigan) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and ordered to pay, jointly and severally with Rodman, [...]

Mark Alan Uselton (CRD # 2229571, Registered Principal, Edmond, Oklahoma) and Legacy Trading Co., LLC (CRD # 46598, Edmond, Oklahoma). The firm was expelled from FINRA membership and Uselton was barred from association with any FINRA member in any capacity. The firm and Uselton were jointly and severally fined $907,035.01, plus interest. The NAC imposed [...]

Legacy Trading Co., LLC (CRD # 46598, Edmond, Oklahoma) and Mark Alan Uselton (CRD # 2229571, Registered Principal, Edmond, Oklahoma). The firm was expelled from FINRA membership and Uselton was barred from association with any FINRA member in any capacity. The firm and Uselton were jointly and severally fined $907,035.01, plus interest. The NAC imposed [...]

Shawn Derrick Baldwin (CRD # 4281564, Registered Principal, Chicago, Illinois) and CMG Institutional Trading LLC (CRD # 47264, Chicago, Illinois). The firm was expelled from FINRA membership and Baldwin was barred from association with any FINRA member in any capacity. The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of Hearing [...]

CMG Institutional Trading LLC (CRD # 47264, Chicago, Illinois) and Shawn Derrick Baldwin (CRD # 4281564, Registered Principal, Chicago, Illinois). The firm was expelled from FINRA membership and Baldwin was barred from association with any FINRA member in any capacity. The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of Hearing [...]