Securities and Investment Fraud Lawyers, Attorneys, Law Firm - GOODMAN & NEKVASIL, P.A

White, Shaniqua N.

gnlaw — Wed, 24 Feb 2010 18:00:31 +0000

Shaniqua N. White (CRD # 5337573, Registered Representative, Bronx, New York) 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, White consented to the described sanction and to the entry of findings that she converted $1,800 from a customer by creating a temporary ATM card in the customer’s name without the customer’s permission or consent, and used the unauthorized ATM card to withdraw $1,800 from the customer’s bank account for her own use and benefit. The findings stated that White failed to respond to FINRA requests for information and documents and to appear for a FINRA on-the-record interview. (FINRA Case # 2008015003001)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Tucker, Thailia Alisa

gnlaw — Wed, 24 Feb 2010 17:55:10 +0000

Thailia Alisa Tucker (CRD # 1727554, Registered Principal, Miami, Florida) 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, Tucker consented to the described sanction and to the entry of findings that she misappropriated approximately $847,188.87 from customers’ accounts at her member firm and used the funds for her own use and benefit. The findings stated that to facilitate her improper use and misappropriation of customer funds, Tucker caused international customers’ accounts to be removed from an abandoned status, caused the addresses for the accounts to be changed to addresses that she controlled, effected unauthorized sales of securities in the customers’ accounts, forged Letters of Authorization (LOAs) and Wire Transfer Agreements (WTAs) to transfer funds out of the customers’ accounts, and approved and processed the fraudulent LOAs and WTAs. The findings also stated that Tucker’s conduct caused her firm to maintain inaccurate books and records. The findings also included that, to make cash available, Tucker sold securities in several accounts without the customers’ knowledge or authorization, then transferred the proceeds to herself through relatives by wire or check. FINRA found that Tucker failed to respond to FINRA requests for information and failed to appear for an on-the-record interview. (FINRA Case # 2007011330602)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Tucker, David Alan

gnlaw — Wed, 24 Feb 2010 17:53:50 +0000

David Alan Tucker (CRD # 3212328, Registered Representative, Port Orange, 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 20 days. Without admitting or denying the findings, Tucker consented to the described sanctions and to the entry of findings that he engaged in radio broadcasts during which he made statements which were misleading and omitted material information, failed to provide a balanced presentation, and/or were exaggerated, unwarranted and promissory. The findings stated that Tucker placed a print advertisement in a local newspaper that failed to provide a sound basis for certain claims. The findings also stated that Tucker engaged in the public radio broadcasts and placed the print advertisement without a firm registered principal’s approval. The suspension was in effect from December 21, 2009, through January 9, 2010. (FINRA Case # 2008014583501)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Tischler, Scott Ryan

gnlaw — Wed, 24 Feb 2010 17:52:50 +0000

Scott Ryan Tischler (CRD # 3248953, Registered Representative, Richmond, Virginia) was fined $5,000 and suspended from association with any FINRA member in any capacity for one year. Tischler withdrew his appeal to the NAC. The sanctions were based on findings that Tischler borrowed $67,000 from a public customer contrary to his member firm’s prohibition of registered representatives borrowing money from customers. The findings stated that Tischler completed, signed and submitted annual firm compliance questionnaires in which he failed to disclose the loans from the customer. The suspension is in effect from November 16, 2009, through November 16, 2010. (FINRA Case # 2007008370701)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Stanley, James Scott

gnlaw — Wed, 24 Feb 2010 17:51:49 +0000

James Scott Stanley (CRD # 722614, Registered Representative, Oklahoma City, Oklahoma) 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 Stanley’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Stanley consented to the described sanctions and to the entry of findings that he engaged in outside business activities, for compensation, without providing written notice to his member firm. The findings stated that Stanley did not execute the transactions through his member firm’s affiliated insurance company as the firm’s compliance procedures required. The suspension is in effect from December 7, 2009, through June 6, 2010. (FINRA Case # 2007009216001)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Sidaway, Justin C.

gnlaw — Wed, 24 Feb 2010 17:50:19 +0000

Justin C. Sidaway (CRD # 5001842, Registered Representative, Waterford, Michigan) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Sidaway accessed the systems of a bank affiliate of his member firm to obtain information regarding a customer and his retail bank account and, without the customer’s knowledge or authorization, used the customer’s personal account information to forge the customer’s signature and complete withdrawals totaling $11,500 for his personal use, thereby converting the funds. The findings stated that Sidaway failed to respond to FINRA requests for information. (FINRA Case # 2008013305801)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Shino, Ralph Matthew

gnlaw — Wed, 24 Feb 2010 17:48:33 +0000

Ralph Matthew Shino (CRD # 1380293, Registered Principal, Scottsdale, Arizona) was suspended from association with any FINRA member in any principal capacity for nine months for late filing and failing to file NASD Rule 3070 reports and amendments to Forms U4 and Uniform Termination Notices for Securities Industry Registration (Forms U5), with an additional suspension in any principal capacity for three months for permitting a branch office to operate without a principal. The suspensions shall run consecutively. The sanctions were based on findings that Shino failed to file, or timely file, NASD Rule 3070 reports and amendments to Forms U4 and U5. The findings stated that Shino permitted a branch office with more than three representatives to transact an options business without having a registered options principal or limited principal—general securities sales supervisor as the principal office supervisor. The suspensions are in effect from November 16, 2009, through November 15, 2010. (FINRA Case # E3A2005003702)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Santos, Yajaira

gnlaw — Wed, 24 Feb 2010 17:46:48 +0000

Yajaira Santos (CRD # 4791361, Associated Person, Carolina, Puerto Rico) 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, Santos consented to the described sanction and to the entry of findings that she completed and submitted a $7,000 credit advance request on a bank line of credit belonging to a firm customer without his knowledge or consent. The findings stated that the bank processed the request, issued a $7,000 check made payable to the customer which Santos retrieved, endorsed the check and deposited the funds into a separate bank account over which she had signature authority. The findings also stated that Santos later covered the line of credit advance by initiating unauthorized securities sales in the customer’s securities account. (FINRA Case # 2008015473301)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Roesser Jr., Eugene Francis

gnlaw — Wed, 24 Feb 2010 17:45:25 +0000

Eugene Francis Roesser Jr. (CRD # 1074726, Registered Representative, North Potomac, Maryland) 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 15 business days. Without admitting or denying the findings, Roesser consented to the described sanctions and to the entry of findings that he mismarked customer order tickets as unsolicited when, in fact, the orders were solicited, causing his firm’s books and records to be inaccurate. The findings stated that Roesser mismarked the orders rather than obtaining the necessary supervisory approval to solicit transactions in securities for which his firm did not have a research opinion. The findings also stated that Roesser engaged in discretionary trading in customers’ accounts without their written authorization and without his firm having designated the accounts as discretionary. The suspension was in effect from December 21, 2009, through January 12, 2010. (FINRA Case # 2007009463401)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.

Roeding, Robert Kenneth

gnlaw — Wed, 24 Feb 2010 17:44:08 +0000

Robert Kenneth Roeding (CRD # 4561756, Registered Representative, Bellevue, Kentucky) 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 Roeding’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier. Without admitting or denying the findings, Roeding consented to the described sanctions and to the entry of findings that he forged public customers’ signatures to illustrations reiterating the possible benefits of insurance policies and signed the illustrations, falsely certifying that he presented the information contained in the illustrations to the customers and that he did not make statements that were inconsistent with the illustrations. The findings stated that Roeding then submitted the illustrations to his member firm’s affiliated insurance company for processing. The suspension is in effect from November 16, 2009, through February 15, 2010. (FINRA Case # 2008015981701)

We take cases on a purely contingency fee basis against brokerage firms who employ brokers committing misconduct of this nature. Please contact us for a free evaluation.