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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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Jackson, Jessica M.
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Mt. Pleasant, SC
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Barred
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Jackson transferred funds from her member firm's account to her account and the accounts of other individuals.
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December 2008
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Jackson, Tyjuan Deleon
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Inkster, Michigan
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Barred
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Jackson failed to disclose material information on his Form U4 and failed to respond to NASD requests for documents and information.
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December 2006
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Jackson, Jr., Leonard Demont
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Wichita, KS
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Barred
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Jackson submitted a term conversion form for a public customer to an insurance company without the customer's authorization and forged the customer's signature on the form. The findings stated that Jackson submitted the form to the insurance company to collect $2,646 in commissions.
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May 2008
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Jacobs, Lynette Joan aka Davis, Lynette
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New Brunswick, NJ
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Barred
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Jacobs misused a public customer's funds in that she requested $8,500 to be withdrawn from the customer's variable annuity account, made the check payable to an alias Jacobs used and sent it to Jacobs' home address. The findings stated that Jacobs and a third party endorsed the check and deposited it in the third party's personal bank account without the customer's authorization or consent. The findings also stated that Jacobs failed to respond to NASD requests to appear for an on-the-record interview.
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September 2007
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Jakubik, Edward Joseph (Jr.)
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New York, New York
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Barred
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He unauthorized trading in the accounts of public customers.
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February 2005
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Jalomo, Lisa Marie
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San Antonio, Texas
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Barred
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Jalomo instructed an employee at her member firm to sign, on behalf of the firm, an incomplete Request for Verification of Deposit Form. The findings stated that Jalomo completed the form with false information that overstated the value of her personal account with the firm, and transmitted the form to a mortgage broker in connection with her pending application for a home mortgage loan.
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June 2006
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Jaloza, Steven Richard
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Muttontown, New York
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Barred
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Jaloza recommended OTC Bulletin Board (OTCBB) stocks without his member firm's affirmative determination that the issuers' current financial statements and material business information provided a reasonable basis for the recommendations. Jaloza failed to disclose material facts in connection with his recommendations that public customers purchase shares of the speculative OTCBB stocks. This decision has been appealed to the NAC and the sanctions are not in effect pending consideration of the appeal.
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July 2007
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James, Ronald Dwayne
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Carlsbad, CA
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Barred
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James effected securities transactions in a customer's
account without the customer's prior authorization and consent. (FINRA Case #2007009181901)
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September 2009
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James, William Howard (III)
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Bethlehem, Pennsylvania
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Barred
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He engaged in business activities for compensation outside the scope of his member firm without providing his firm prompt written notice of the activities.
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Jaramillo, Jr., Armando
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Elmhurst, NY
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Barred
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Jaramillo acted unethically and failed to deal fairly with a
customer by inducing him to provide funds for an investment by falsely describing the investment as "risk free" and guaranteed a 35% return within 10 weeks; after 10 weeks, falsely told the customer he had sent payment; sent several checks backed by insufficient funds; and failed to repay the customer's funds until two years later. The findings stated that Jaramillo failed to respond to FINRA requests for information.
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March 2009
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Jarkas, Rani Tarek
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San Francisco, CA
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Complaint Filed
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Jarkas was named as a respondent in a FINRA complaint alleging that he recommended or, in the exercise of discretion, executed securities transactions in a customer's account at his
member firm without having a reasonable basis for believing that the volume of trading he recommended was suitable for the customer in light of information known to him about the customer's financial circumstances, needs, other security holdings and investment objectives.
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May 2009
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Jasko,
William Edward
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Saddle
River, New Jersey
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Barred
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He recommended and affected excessive
securities transactions in the accounts of public customers without having a
reasonable basis for believing that the recommendations were suitable for the
customers based on their other security holdings, financial situations,
investment objectives and needs.
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November
2005
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Jenkins, Debra Lynn
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Lake Monroe, Florida
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Barred
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Violated NYSE Rule 476(a)(6) by misappropriating funds belonging to her member firm employer; violated NYSE Rule 477 by failing to comply with written requests by the NYSE for information concerning a matter which occurred prior to her termination as an employee of a member firm.
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August 2006
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Jensen, Jay McCormick
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St. Louis, Missouri
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Barred
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He failed to appear for an NASD on-the-record interview.
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February, 2007
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Jimerson, Cheryl Diane
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Sayville, NY
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Barred
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Jimerson effected securities transactions in public customers' accounts without the customers' prior knowledge, authorization or consent. The findings stated that Jimerson engaged in a pattern of unsuitable excessive and short-term trading in a customer's individual retirement account (IRA) in light of the customer's objectives, financial situation and needs. The findings also stated that Jimerson failed to appear
for FINRA on-the-record interviews.
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May 2008
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Jinings, Ronald William
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Redmond, OR
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Barred
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Jinings borrowed $12,000 from a public customer in violation of his member firm's written policy prohibiting its registered representatives from borrowing money from a customer without the firm's prior approval unless the customer was amember of the representative's immediate family. The findings stated that Jinings failed to respond to FINRA requests for information.
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November 2007
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Johansson, Kurt H.
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Idaho Falls, ID
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Barred
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Johansson failed to respond completely to FINRA requests for information and documents and failed to appear for a FINRA on-the-record interview.
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May 2009
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John, James Neal
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Denton, Texas
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Barred
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He forged public customers' signatures on forms and submitted them to his member firm.
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March 2006
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Johnson, Anthony John
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Garrison, New York
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Barred
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Johnson engaged in fraudulent sales practices, failed to comply with SEC penny stock disclosure rules, and provided false and misleading testimony during an NASD on-the-record interview.
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December 2006
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Johnson, Christopher James
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Middletown, Connecticut
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Barred
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Johnson received $7,837 from a public customer for investment in a mutual fund, inserted his name as the payee, negotiated the check and misappropriated the proceeds to his own use and benefit without the customer's knowledge or consent. The findings stated that Johnson failed to respond to NASD requests for information.
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July 2007
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Johnson, David A.
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Altoona, Pennsylvania
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Barred
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Johnson participated in private securities transactions without providing prior written notice to and receiving written permission from his member firm.
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July 2005
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Johnson, Edward Hinton
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Lumberton, North Carolina
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Barred
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Johnson engaged in private securities transactions for compensation without providing prior written notice to, or receiving approval from, his member firm. Without admitting or denying the allegations, Johnson consented to the described sanctions and to the entry of findings that he failed to supervise a registered representative who engaged in private securities transactions.
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December 2006
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Johnson, Jophlin Devon
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Irving, TX
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Barred
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Johnson willfully failed to disclose material information on his Form U4. The findings stated that Johnson failed to respond to FINRA requests for information.
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November 2008
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Johnson, Legare Minott
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Awenda, SC
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Barred
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Johnson failed to respond to FINRA requests for information.
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November 2008
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Johnson, Leonard
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Johnson, Leonard
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Barred
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Johnson willfully failed to disclose material information on his FormU4. The findings stated that Johnson failed to respond to FINRA requests for information.
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June 2008
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Johnson, Richard James
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Ypsilanti, MI
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Barred
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Johnson converted $42,000 from a church while serving as its treasurer.
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September 2007
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Johnson, Robert Wade
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Englewood, Colorado
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Barred
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Johnson received checks totaling $157,000 from a public customer to be invested, and instead, cashed the checks, received the proceeds and was unable to provide any evidence or documentation showing that he actually invested any of the customer's funds. The findings stated that Johnson failed to completely respond to NASD requests for information and failed to fully respond to questions during an on-the-record interview.
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June 2006
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Johnson, Trent Alan
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Rockford, IL
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2-Year Suspension
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Johnson willfully failed to disclose materialinformation on his Form U4.
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December 2007
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Jones, Corbin Taylor
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Cave Creek, AZ
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Barred
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Jones failed to respond to FINRA requests for information and
to appear for on-the-record interviews. The findings stated that Jones participated in a private securities transaction without prior notice to his member firm.
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May 2009
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Jones, Kenneth T.
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Barred
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Jones failed to disclose material information on his Form U4.
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May 2007
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Jones, Michael Andre
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Topanga, CA
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Barred
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Pursuant to NASD Rule 9552(h)
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September 2007
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Jones, Reginald M.
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Jersey City, NJ
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Barred
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Jones created a score report that falsely indicated that he received a passing score on the general securities representative qualification examination when, in fact, he had not, and knowingly submitted the fictitious score report to his member firm.
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January 2008
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Jones, Steven
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Baldwin, NY
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Complaint Filed
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Jones was named as a respondent in a FINRA complaint alleging that he engaged in a pattern of trading in customer accounts that was excessive in size and frequency, and was unsuitable in
light of the customers' objectives, financial situation and needs, and, in fact, one of the accounts was comprised of IRA funds. The complaint alleges that Jones paid $1,600 in connection with the settlement of a customer complaint without his member firm's
knowledge or consent.
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February 2009
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Jones, William Edward
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Tulsa, OK
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Barred
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Jones misappropriated $300 from his member firm's parent corporation for his own personal use and benefit by using a corporate debit card without the corporation's knowledge or consent.
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January 2008
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Jordan, Dennis
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Chipley, FL
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Barred
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Jordan failed to establish, maintain and enforce an adequate supervisory system and written supervisory procedures with
respect to the business conducted in a branch office; failed to establish, maintain and enforce written supervisory procedures reasonably designed to achieve compliance
with the recordkeeping requirements of SEC Rule 17a-4 as it pertains to preserving electronic communications; failed to develop and implement adequate AML procedures to achieve and monitor its obligations under the Bank Secrecy Act and related U.S.Treasury regulations; and failed to report customer complaints to FINRA.
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January 2009
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Jordan, Johnny Marc
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Keller, Texas
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Barred
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He failed to respond to NASD requests for information.
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February 2006
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Jordan, Thomas Brian
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Helena, AL
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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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Josephson, Jon Hadland
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Vancouver, WA
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Barred
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Josephson engaged in unauthorized transactions in a relative's variable annuity account by submitting surrender or withdrawal requests through his member firm to the issuer
of the variable annuity, which caused the liquidation of $48,716.81 from the account without the relative's knowledge or consent, and in the absence of written or oral
authorization to exercise discretion in connection with the variable annuity. The findings stated that Josephson received checks payable to his relative in the total amount of $45,230.15 as a result of the unauthorized partial liquidations, negotiated the checks and spent the funds without the relative's knowledge or consent in a manner that the relative had not intended or authorized. The findings also stated
that Josephson, without his relative's knowledge and consent, affixed, or caused to be affixed, her signature to surrender or withdrawal request forms and as endorsements to checks payable to her. The findings also included that Josephson failed to appear for a FINRA on-the-record interview.
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July 2009
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Julian,
William Joseph
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Huntington,
New York
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Barred
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Julian prepared a falsified account statement for a public customer that misrepresented the account's net worth and securities positions for the purpose of misleading the customer as to the actual value of the investments.
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June 2006
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Jurkiewicz, Gregory Adam
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Dunedin, Florida
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Barred
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He failed to respond to NASD requests for information and that he made unsuitable recommendations to public customers. The findings also stated that Jurkiewicz negligently failed to disclose material information when he recommended that a public customer purchase mutual funds and failed to disclose that Class B shares of mutual funds incurred higher annual internal expenses than Class A shares, that Class A shares were available at discounted charges for purchases exceeding certain dollar amounts, and that he would receive a higher commission if the customer purchased Class B shares.
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January 2005
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Always consult an attorney and/or investment adviser when building and protecting your wealth.
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