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Name
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Residence
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What
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Why
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Date
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Eady, James Jameke
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Brooklyn, NY
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Barred
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Pursuant to NASD Rule 9552(h)
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November 2007
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Eberhard, Todd M.
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New York
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Barred
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Barred due to securities fraud and other, multiple violations of NASD rules. The bar stems from NASD charges announced in October 2002 that Eberhard had committed securities fraud in connection with scores of mutual fund transactions. Park South was liquidated in 2003. In 2004, Eberhard pleaded guilty in federal court to mail and wire fraud, as well as conspiracy, investment adviser fraud, and obstruction of justice.
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February 2005
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Edge, Taurese L.
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Carmel, Indiana
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1-Year Suspension
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He willfully failed to disclose material facts on his Form U4.
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January 2005
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Edmond, Gail A.
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Monroe, New York
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4-Year Bar
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Materially mismarked value of precious metals to conceal losses in proprietary accounts; concealed trades from employer by failing to enter order tickets for proprietary transactions; caused precious-metals options positions to be accounted for inaccurately; effected transactions in proprietary accounts in excess of her position limits; caused violation of Rules 17a-3 and 17a-4 under Securities Exchange Act of 1934 and NYSE Rule 440 by causing value of precious-metals positions to be inaccurately reflected on firm's books and records and on customer monthly account statements, by failing to accurately time-stamp order tickets and to timely report precious metals forward transactions to her member-firm employer, and by causing firm to inaccurately account for precious-metals futures options positions.
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July 2006
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Eisele, Frank Paul
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Bronx, New York
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Barred
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Eisele consented to the described sanction and to the entry of findings that he willfully failed to disclose material information on his Form U4.
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September, 2006
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Elam, Joan Lynea
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Los Angeles, CA
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Barred
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Elam engaged in the unauthorized use of a co-worker's credit card to purchase personal items totaling $1,005.94, without the individual's knowledge, authorization or consent.
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February 2008
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Elam, John Alfred (Jr.)
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Virginia Beach, Virginia
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Barred
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Elam willfully failed to amend his Form U4 to disclose material information.
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November 2006
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Electra
Varvitsiotes, Maritsa
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Southold,
New York
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Complaint
Filed
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Named as a respondent in an NASD complaint
alleging that she engaged in a pattern of excessive trading in a public
customer’s discretionary account that was unsuitable for the customer. The
complaint alleges that Varvitsiotes assisted and participated in excessive
trading and unsuitable transactions in a customer’s discretionary account.
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December
2005
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Elkins, Robert Eugene
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Redford, Michigan
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1-Year Suspension
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Elkins sold, or caused to be sold, an increased number of shares of a mutual fund in a public customer's account without the customer's knowledge or consent.
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November 2006
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Ellis, Robert John
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Austin, Texas
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1 Year Suspension
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Ellis engaged in private securities transactions without providing prior written notice to, or receiving written approval from, his member firm describing in detail the proposed transactions, his role therein, and stating whether he had received or might receive selling compensation in connection with the transactions.
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June 2007
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Elvendahl, Susan Jean
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Unknown
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Consent to censure and permanent bar.
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Misappropriated funds, forged customer's signatures and violated Exchange Rule 440 and Securities Exchange Act Rule 17a-4 by, on one or more occasions, causing her member firm employer to maintain inaccurate books and records.
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August 22, 2005
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Elwin, John Derek
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Lake Worth, Florida
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Barred
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Pursuant to NASD Rule 9552(h)
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August, 2006
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English, Joyce Lynn
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Dublin, Ohio
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Barred
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She was in possession of unauthorized materials and cheated during a qualifications examination, which violated Registration Rule 1080 and Conduct Rule 2110.
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February 2006
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Englert, Joshua Kevin
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Westminster, CO
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Barred
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Pursuant to NASD Rule 9552(h)
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March 2008
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Englese, Jr., Michael
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Ozone Park, NY
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Complaint Filed
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Englese was named as a respondent in a FINRA complaint alleging that he executed purchases of a penny stock in public customers' accounts and failed to provide the customers withthe required penny stock disclosures pursuant to the penny stock rules under Rule 15g of the Securities Exchange Act. The complaint alleges that Englese failed to respond toFINRA requests for information.
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October 2007
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English, Robert William
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Butte, Montana
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Barred
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He failed to supervise a registered representative.
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June 2005
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Ennis, Steven Emil
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Blaine, Minnesota
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1-Year Suspension
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Ennis consented to the described sanctions and to the entry of findings that he forged a public customer's signature on a new account form and submitted it to his member firm. The findings stated that, when Ennis was questioned about this signature, he claimed that the customer's fiance signed the form with her approval and impersonated the customer's fiance over the telephone to attempt to provide verification of his claim.
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September, 2006
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Epstein, Jamin Marlowe
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Wexford, Pennsylvania
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Barred
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Epstein made false representations regarding disbursements from public customers' variable annuity policies. The findings stated that Epstein failed to respond to NASD requests to provide testimony.
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June 2007
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Epstein, Scott Michael
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Marlboro, NJ
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Barred
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The NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Epstein recommended and effected unsuitable mutual fund switchtransactions without having reasonable grounds for believing that the transactions were suitable for public customers in view of the nature of the recommended transactions, and in light of the customers' financial situations, investment objectives, circumstances and needs. This decision has been appealed to the SEC and the sanction is in effect pending consideration of the appeal.
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March 2008
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Erenstein, Morton Bruce
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Boca Raton, Florida
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1-Year Suspension
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The sanction was based on findings that Erenstein failed to answer a question during an NASD on-the-record interview. The findings stated that Erenstein failed to timely respond to an NASD request for documents and information.
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March, 2007
|
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Erwin, Irvin
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Newtonwille, New Jersey
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Barred
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A public customer gave him a $175 premium payment to be applied to the customer's property and casualty policy, but he never applied the payment as directed; instead, he took the funds for his own use without the customer's consent or authority.
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May 2005
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Eschbach, Harry Elmer
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Miami, FL
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Barred
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Eschbach forged customer signatures on account transfer request forms in order to transfer the customers' accounts from his former member firm to his new member firm.
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December 2007
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Eshleman,
Mark W.
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Coconut
Creek, Florida
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Barred
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He, by the use of means or instrumentalities
of interstate commerce or of the mails, intentionally and recklessly effected
transactions in, and induced the purchase and the sale of stocks by means of
deceptive, manipulative and other fraudulent devices or contrivances.
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December
2005
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Esposito,
Dean Anthony
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Boca
Raton, Florida
|
Barred
|
He signed new account forms with the
purported signature of another registered representative without his
authorization.
|
December
2005
|
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Esposito,
Jeffrey Marc (Sr.)
|
Dallas,
Texas
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Barred
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Esposito directly or indirectly, in connection with the offer or sale of securities, by the use of means or instrumentalities of interstate commerce or of the mails, employed devices, schemes or artifices to defraud; made untrue statements of material fact or omitted to state material facts necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or engaged in acts, practices or courses of business which operated or would operate as a fraud or deceit upon persons. The findings stated that Esposito failed to respond to NASD requests to appear for an on-the-record interview.
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June 2006
|
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Esposito, Peter Francis (III)
|
Ontario, New York
|
Barred
|
Esposito consented to the described sanction and to the entry of findings that in connection with his recommendation and sale of a variable annuity to a public customer, he submitted falsified information to his member firm. The findings stated that Esposito falsely represented that the source of funds to pay for the transaction did not involve the replacement of an existing annuity; however, the proceeds originated from Esposito's liquidation of another variable annuity that he had previously sold to the customer. The findings also stated that Esposito failed to appear for an NASD on-the-record interview.
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February, 2007
|
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Evans, Michael Benjamin
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Roosevelt, New York
|
Barred
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Pursuant to NASD Rule 9552(h).
|
December 2006
|
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Evans, Robert Stewart
|
Mt. Pleasant, South Carolina
|
Barred
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He effected securities transactions in public customers' accounts without their knowledge or consent. The findings stated that Evans failed to respond to NASD requests for information.
|
February, 2007
|
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Everhard, Carolyn Sue
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Cincinnati, OH
|
Barred
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Everhard received $6,400 from a public customer for investment purposes and converted the funds to her own use and benefit without the customer's knowledge, authorization or consent. The findings stated that Everhard failed to fully respond in a timely manner to FINRA requests for information.
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October 2007
|
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Sponsored by James J. Eccleston, an attorney representing stockbrokers, financial planners and
investors nationwide in arbitration, litigation and regulatory matters, and a shareholder with the law firm
Shaheen, Novoselsky, Staat, Filipowski & Eccleston
P.C.(www.snsfe-law.com). This Web site contains material
of general interest. It is neither intended to, nor constitutes, either legal advice or investment advice.
Always consult an attorney and/or investment advisor when building and protecting your wealth.
All content Copyright © 2008 Advocate Capital Management, Inc. except where noted. All rights reserved.
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