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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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Hachtel, Jason James
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Cottage Grove, Wisconsin
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Barred
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He forged public customers' signatures on new and updated investment advisory agreements in order to change the agent of record on the investment advisory accounts without the customers' knowledge or consent.
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March 2006
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Hacker, Scott Martin
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Providence, RI
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Barred
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Hacker caused his member firm's parent company to make charitable donations of $32,000 to a non-profit organization of which he was treasurer without the authority to do so. The findings stated that Hacker failed to provide on-the-record testimony that FINRA requested.
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December 2007
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Hager, Bruce Allan
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Fargo, North Dakota
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Barred
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He participated in outside business activities for compensation without providing prompt written notice to his member firm. The findings stated that Hager provided misleading information to NASD.
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March 2006
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Hager, Ray Wesley
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Morrison, IL
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Barred
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Hager failed to respond to FINRA requests for information.
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April 2008
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Hahn, Mary E.
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Oceanside, NY
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Barred
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Hahn violated NYSE Rules 476(a)(6) and 477 when she engaged in misappropriation by making unauthorized purchases on a credit card belonging to employee of member firm employer; violated NYSE Rules 476(a)(11) and 477 by failing to comply with written requests for information.
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January 2008
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Hakobyan, Garik
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Glendale, California
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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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August 2005
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Hall, Candice Elicia
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Coral Springs, FL
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Barred
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Hall intentionally submitted a Request for Verification for Employment that overstated her salary and reflected an incorrect length of service of employment and incorrectposition title; she transmitted the document to a mortgage company in connection with an application for a home mortgage loan.
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February 2008
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Hall, Cynthia Barnes
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Unknown
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Censure and four year bar
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Violated Exchange Rule 345.12 by submitting a Form U-4 containing false information; violated Exchange Rule 476(a)(10) by making a misstatement on application for registration; failed to disclose misdemeanor conviction on employment application.
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February 15, 2005
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Hailperin, Scott Perry aka Halperin, Scott P.
|
Maitland, FL
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Complaint Filed
|
Hailperin was named as a respondent in a FINRA complaint alleging that he received $7,000 from a public customer for investment purposes and failed to invest the funds as directed, but, instead, converted some of the funds to his own use and benefit.
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January 2008
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Hammond, Jr., Dempsey Bennett
|
Destin, FL
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Barred
|
Pursuant to NASD Rule 9552(h)
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February 2008
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Hammerle,
Stuart Michael
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Philadelphia,
Pennsylvania
|
Barred
|
Without the knowledge or consent of a public
customer, Hammerle submitted a letter to his member firm that reflected the
customer’s purported signature and stated that checks totaling $15,000 from
the customer’s margin account be made payable to entities with which Hammerle
had personal business dealings. The findings stated that the checks were
issued and negotiated and were to be applied by the entities to Hammerle’s
benefit.
|
October
2005
|
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Hanchar, Michael John
|
Canon City, Colorado
|
Barred
|
He converted $772,170.82 by unlawfully making redemptions from the mutual fund accounts of public customers, wiring the proceeds to bank accounts of other unrelated shareholders, and subsequently transferring the proceeds to bank accounts he controlled.
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January 2005
|
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Hanley,
James Brendan
|
Malden,
Massachusetts
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17-Month
Suspension
|
While exercising effective control over
public customer accounts, he engaged in excessive trading. The findings
stated that Hanley exercised discretion in customer accounts without written
authorization from the customers.
|
November
2005
|
|
Hansen, Warren Karl
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Boca Raton, FL
|
Barred
|
Hansen failed to respond to FINRA requests for information and documents.
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April 2008
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Hanson, Ebony Chantel
|
Woodbridge, Virginia
|
Barred
|
She willfully failed to disclose a material fact on her Form U4. The findings also stated that Hanson failed to respond to NASD requests for information.
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May 2005
|
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Haq, Iftikhar Ul
|
Toms River, NJ
|
Barred
|
Haq effected securities transactions in a customer's account without the customer's knowledge, authorization or consent. This decision has been appealed to the NAC and the sanctions are not in effect pending consideration of the appeal.
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January 2008
|
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Harrington, William Ray
|
Clearwater, FL
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Barred
|
Harrington's member firm's parent company issued him a corporate credit card to pay insurance agent and licensing fees to various state departments of insurance, but heused the credit card to convert to his own use and benefit $119,721.91 of the insurance company's funds.
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November 2007
|
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Harris, Jacqueline Denise
|
Highlands Ranch, CO
|
Barred
|
Harris submitted expenses for reimbursement totaling $5,000 to her member firm and represented that the corporate credit card expenditures were properly reimbursable business expenses when they actually consisted of personalexpenses, previously reimbursed expenses and non-reimbursable expenses.
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November 2007
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Harper, Kimberly Ann
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Inver Grove Heights, MN
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Barred
|
Harper failed to respond to FINRA requests for information. The findings stated that Harper failed to disclose material information on her FormU4.
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February 2008
|
|
Hasie, Montague
|
Lubbock, TX
|
Barred
|
Hasie failed to cooperate with an NYSE Regulation investigation concerning matters that occurred while he was employed by a member firm.
|
December 2007
|
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Hardaker, Kimberly Pine
|
Laguna Niguel, California
|
Barred
|
Hardaker acted as a broker-dealer without being registered with the SEC. The findings stated that Hardaker participated in a private securities transaction, for compensation, without providing prior written notice to, and receiving prior written approval from, her member firm. The findings also stated that Hardaker received $543,630 from public customers for the purchase of securities and commingled the monies with unrelated funds subjecting the customer funds to a risk of loss. The findings also included that Hardaker created and mailed confirmation statements to public customers purporting to evidence the securities purchases. NASD found that on the confirmation statements Hardaker provided to the customers, she failed to disclose that the price of the shares included a one cent per share markup.
|
November 2006
|
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Hardy, Gary Wayne
|
Chandler, Arizona
|
Barred
|
He received approximately $420,000 from public customers for investments purposes, and without the customers' knowledge or consent, deposited the funds in a bank account that he controlled, thereby misusing and converting the funds for his own use and benefit.
|
June 2006
|
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Hardin, Andrew Joseph
|
Greenville, South Carolina
|
Complaint Filed
|
He was named as a respondent in an NASD complaint alleging that, pursuant to verbal authority, he exercised discretion in a public customer's account without the customer's written authorization and his member firm's written acceptance of the account as a discretionary account. The complaint alleges that Hardin knowingly and intentionally purchased and parked Certificates of Deposits (CDs) in a customer's account with the intent to resell them to other customers, and instead requested that the original purchases be corrected and reassigned to another customer to whom he had sold the respective CD, therefore misrepresenting to his member firm that the original purchase was mistakenly put in the customer's account.
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May 2006
|
|
Harper,
Roger Dean (Jr.)
|
Leawood,
Kansas
|
18-Month
Suspension
|
He knowingly notarized 401(k) rollover forms
that contained non-genuine signatures.
|
October
2005
|
|
Harris, Norman Albert
|
Randallstown, Maryland
|
Barred
|
Harris failed to respond to NASD requests for information. The findings further stated that Harris failed to provide his member firm with prompt written notice of his outside business activities.
|
February, 2007o:p>
|
|
Hayes, Patrick Joseph
|
Unknown
|
Consent to censure, one-year bar, consecutive six-month supervisory bar, requirement to retake General Securities Principal Examination, and undertaking to cooperate with Enforcement.
|
Violated Exchange Rule 342 by failing reasonably to supervise and control the activities of a stock loan trader and firm's stock loan activities; caused violation of Exchange Rule 440 and Rules 17a-3 and 17a-4 of the Securities Exchange Act of 1934 by failing to detect and/or prevent inaccurate entries to firm's books and records regarding stock loan activities.
|
January 11, 2006
|
|
Haynes,
Steven Hadley
|
East
Longmeadow, Massachusetts
|
Barred
|
Haynes consented to the described sanction
and to the entry of findings that he failed to appear for an NASD
on-the-record interview.
|
December
2005
|
|
Hayward, Michael Joseph
|
Ramsey, NJ
|
Barred
|
On thousands of occasions during the relevant period, Hayward knowingly or recklessly engaged in fraudulent trading on the Floor of the NYSE and violated his fundamental agency obligations as a specialist to hold the interest of public customer orders entrusted to him above the proprietary interests of his member firm and himself, and to match executable customer orders. The public customer orders were transmitted to the Floor of the NYSE electronically. Instead of pairing buy and sell orders, Hayward intentionally "interpositioned" the firm's dealer account between those orders or intentionally "traded ahead" of orders on one side of the market. In either case, Hayward disadvantaged customer orders.
|
March 2008
|
|
Heathman, Michael Jay
|
Lexington, Kentucky
|
Barred
|
He solicited and accepted $43,374 from a public customer, then deposited the funds into his bank account for his personal use without the customer's knowledge or consent.
|
February 2006
|
|
Heilbrun, Donald Eric St.
|
Mission Hills, California
|
Barred
|
Without admitting or denying the findings, Heilbrun consented to the described sanction and to the entry of findings that he participated in a private securities transaction without providing prior written notice to, and receiving prior written approval from, his member firm. The findings stated that Heilbrun effected securities transactions in a public customer's account based upon the oral trading instructions he had received from a third party, and failed to provide prior notice to, or receive prior written approval from, his member firm to permit him to accept trading instructions from a third party.
|
July 2006
|
|
Helm, John D.
|
Owensboro, Kentucky
|
Barred
|
Helm failed to respond to NASD requests for information. The findings stated that Helm failed to amend his Form U4 with material information.
|
April 2007
|
|
Heng, Adam Chamroeurn
|
Brooklyn, New York
|
Barred
|
Heng executed unauthorized transactions, used margin without authorization, failed to follow instructions in public customers' accounts and failed to respond to an NASD request for an on-the-record interview.
|
December 2006
|
|
Henry, Jonathan
|
Unknown
|
Censure and five year bar following period of statutory disqualification.
|
Failed to disclose criminal record on Form U-4; violated Exchange Rule 477 by failing to comply with requests for information.
|
January 25, 2005
|
|
Henry, Mark Leon
|
Joplin, MO
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
March 2008
|
|
Herndon, Joseph Edward
|
Unknown
|
Consent to censure and permanent bar
|
Misappropriated customer funds; engaged in acts detrimental to the interest or welfare of the Exchange in violation of Exchange Rule 476(a)(7) in that he was convicted of the criminal offense of exploitation of an elderly person, a felony, which involved the theft of customer funds.
|
August 29, 2005
|
|
Herrera, Rene U.
|
El Paso, Texas
|
Barred
|
Failure to Provide Information Requested under NASD Rule 8210.
|
May 2005
|
|
Herrera,
Sherri Lynn
|
Pueblo,
Colorado
|
Barred
|
Herrera received $718.44 from public
customers for insurance premium payments, but deposited $564.44 of the funds
in a bank account under her control and used them to pay for her personal
expenses.
|
January
2006
|
|
Hersh, Mitchell
|
Staten Island, New York
|
Barred
|
He knowingly falsified, and/or caused to be falsified, variable annuity policy applications for public customers by recording inaccurate addresses for the customers in order to sell them variable annuity contracts not approved for sale in the states where the customers actually resided. The findings also stated that he knowingly falsified, and/or caused to be falsified, a variable annuity policy application for a customer by recording that the policy application was signed in Florida when, in fact, the application was signed in New York. NASD also found that he knowingly sold variable annuity contracts to public customers that were not approved for sale in the states of the customers' residences.
|
January 2005
|
|
Hershberg, Elliot M.
|
Harrison, New York
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
February, 2007
|
|
Hershner,
Martin Ray
|
Lexington,
Ohio
|
Barred
|
He caused redemption of $54,906.72 from
public customers’ mutual funds and committed conversion by cashing these
funds for his own use or benefit without the knowledge or consent of the
customers.
|
November
2005
|
|
Hesdra, James Louis
|
Howell, New Jersey
|
Barred
|
While registered with a member firm, he impersonated another registered representative while soliciting clients to open new accounts or to engage in securities transactions; listed the representative as the registered representative of record on new account forms and order tickets when Hesdra was aware that he, rather than | | | | |
