http://rightsforinvestors.com/blog Investment Fraud Lawyers, Attorney, Law Firms, Litigation, Lawsuits, Investor Fraud, Securities Fraud. Wed, 24 Feb 2010 18:03:02 +0000 http://backend.userland.com/rss092 en 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 ... http://rightsforinvestors.com/blog/2010/02/24/white-shaniqua-n/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/tucker-thailia-alisa/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/tucker-david-alan/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/tischler-scott-ryan/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/stanley-james-scott/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/sidaway-justin-c/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/shino-ralph-matthew-2/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/santos-yajaira/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/roesser-jr-eugene-francis/ 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 ... http://rightsforinvestors.com/blog/2010/02/24/roeding-robert-kenneth/