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Name
|
Residence
|
What
|
Why
|
Date
|
|
Macandog, Jose Paul
|
Jacksonville, FL
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
February 2008
|
|
MacDonald, Kevin J.
|
Brookline, MA
|
Barred
|
MacDonald willfully failed to disclose material information on his Form U4 and failed to respond to FINRA requests for information.
|
May 2009
|
|
MacDuff, Richard Lawrence
|
Silverdale, Washington
|
Barred
|
He engaged in private securities transactions outside the regular course of his employment with a member firm, failed to provide prior notice to his firm describing in detail his proposed transactions and his role therein, and failed to receive written approval from his firm. The findings stated that MacDuff prepared and distributed sales literature in the form of newsletters to public customers without the knowledge or consent of registered principals of his member firms. The findings also stated that MacDuff prepared and distributed newsletters that contained statements that were unwarranted and misleading, and failed to name the member firm with which he was associated, and failed to file the sales literature with NASD's Advertising Department.
|
April 2006
|
|
Macek, Scott Edward
|
Cable, Ohio
|
Barred
|
He caused the withdrawal of at least $35,938 from a public customer's account for his personal use without the customer's knowledge or consent. The findings stated that he opened credit cards in a public customer's name without the customer's knowledge or consent, and converted at least $7,275 for his personal use. NASD found that he forged the customer's signature on the member's client change request form in order to change the representative of the account to himself.
|
February 2006
|
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Maher, Stephen Michael
|
Erie, PA
|
Barred
|
Maher borrowed $70,000 from his member firm's customers in contravention of his firm's written policies prohibiting representatives from borrowing money from customers and
without notifying the firm. The findings stated that Maher willfully failed to disclose material information on his Form U4. (FINRA Case #2008014350801)
|
September 2009
|
|
Mai, Hantao
|
College Park, MD
|
Barred
|
Pursuant to FINRA Rule 9552(h)
|
June 2009
|
|
Maidlow, Steven Kenneth
|
Cincinnati, OH
|
Barred
|
Maidlow caused $10,000 to be electronically transferred from a public customer's account and sent to the customer's deceased mother's estate checking account, without the customer's knowledge and consent, to resolve a shortfall in that account caused by Maidlow's failure to liquidate bonds the estate held in a timely fashion. The findings stated thatMaidlow prepared and sent to the customer documentation showing that the $10,000 previously removed from the customer's account had been returned when, in fact, ithad not. The findings also stated that Maidlow failed to respond to FINRA requests for information.
|
December 2007
|
|
Majano, Jr., Louis Steven
|
Roslyn Heights, NY
|
Barred
|
Majano made unauthorized withdrawals totaling $20,500 from a public customer's account. The findings stated that Majano failed to respond to FINRA requests for information.
|
June 2008
|
|
Makris, Caliope
|
Poland, Ohio
|
Barred
|
Makris affixed a public customer's signature to a disability application without noting that the application had been signed by someone other than the customer; thereby violating her member firm's prohibition against representatives signing documents on behalf of customers, even with the customer's consent.
|
February, 2007
|
|
Malito, Maria J.
|
Unknown
|
Censure, bar until she complies, to become permanent if she does not comply in three months.
|
Failed to comply with the Exchange request to appear and testify.
|
June 13, 2005
|
|
Malkasian, Jeffrey Tatios
|
Sacramento, California
|
Barred
|
Malkasian engaged in private securities transactions without prior written notice to, and approval from, his member firms. The findings stated that Malkasian received $798,000 from public customers to invest in a money market fund but, instead, used the funds to invest in business opportunities related to his accountancy business. The findings also stated that Malkasian failed to provide investors with any documentation evidencing their investment.
|
July 2007
|
|
Malloy, William Andrew
|
Matthews, North Carolina
|
Barred
|
Malloy failed to perform branch audits and failed to conduct regular compliance reviews of trading activity in customer accounts as his firm's written supervisory procedures required.
|
November 2006
|
|
Maloney, Robert Thomas
|
Buffalo, New York
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
July 2007
|
|
Mancero, Ralph A.
|
Elmwood Park, NJ
|
Barred
|
Mancero misappropriated $50 of a public customer's funds that he received to deposit in the customer's bank account, but he failed to do so.
|
June 2008
|
|
Manhas, Vikram S.
|
New York, New York
|
Barred
|
Manhas had a public customer unknowingly sign documents to open a securities account at another broker-dealer, transferred $240,000 from the customer's old account to the new account and submitted false documents to the new broker-dealer to transfer the customer's assets to Manhas' personal account.
|
May 2007
|
|
Manjarres, Jose Hernandez
|
Lincolnton, North Carolina
|
Barred
|
He effected, or caused to be effected, transactions in the joint account of public customers without their authorization, knowledge or consent. The findings stated that Manjarres failed to appear for an NASD on-the-record interview.
|
February, 2007
|
|
Manns, David Brian
|
Englewood, Florida
|
Barred
|
He forged the signature of a public customer on a "Fixed and Variable Annuity Disclosure" form that sought to ensure that the customer understood the costs associated with a fixed annuity exchange, including surrender and other costs for both the original and new annuity.
|
February 2005
|
|
March, Adam Donald
|
North Tonawanda, NY
|
Barred
|
March signed public customers' names on insurance applications without their authorization or consent. The findings stated that March failed to appear for a FINRA on-the-record interview.
|
June 2008
|
|
Margossian,
George
|
Woodland
Hills, California
|
Barred
|
While acting as treasurer of a business
networking organization, he forged the signature of the organization’s
president on a company check, cashed the check and misappropriated $700 of
the organization’s funds.
|
November
2005
|
|
Mariani, Andrew John
|
Wellington, FL
|
Barred
|
Mariani knowingly conspired with another individual to unjustly enrich themselves by inducing people to invest money on the basis of materially false pretenses, representations and promises, and omissions of material facts.
|
June 2008
|
|
Marion, Darrin Michael
|
Indianapolis, IN
|
Barred
|
Marion willfully failed to disclose a material fact on his Form U4. The findings stated that Marion failed to appear for a FINRA on-the-record interview
|
May 2008
|
|
Marlow, Dennis Leslie
|
Monument, Colorado
|
Barred
|
He created and distributed sales literature and advertisements without prior written approval from his member firm that omitted material facts and was misleading.
|
June 2005
|
|
Marsh, Kenneth Eugene
|
Coral Springs, Florida
|
Barred
|
Marsh engaged in outside business activities without providing his member firm with notice, written or otherwise, and indicated on firm compliance forms that he was not engaged in, and had no intent to engage in, outside business activities. The findings stated that Marsh failed to respond to NASD requests for information.
|
April 2007
|
|
Marshall, Donald Richard
|
Sun City West, AZ
|
Barred
|
Pursuant to FINRA Rule 9552(h)
|
July 2009
|
|
Martella, Michael Joseph
|
New York, NY
|
Barred
|
Martella failed to respond to FINRA requests to appear for an on-the-record interview.
|
July 2008
|
|
Martin, Donald Cleygette
|
Huntsville, AL
|
Barred
|
Martin made unauthorized withdrawals totaling $5,371 from a variable annuity a public customer owned, and converted the funds for his own use and benefit without the customer's knowledge or consent. The findings stated that Martin received $80,000 from the customer to purchase mutual fund shares and certificates of deposit but, instead, converted the funds for his own use and benefit, without the customer's knowledge or consent.
|
September 2007
|
|
Martinez, Anthony Joseph
|
Lake Grove, NY
|
Barred
|
The National Adjudicatory Council (NAC) imposed the sanctions following appeal of an Office of Hearing Officers (OHO) decision. The findings stated that Martinez participated in a fraudulent scheme to trade ahead of customers' orders and reap risk-free trading profits; made material omissions in the communications with a public customer; and caused the member firm to issue false trade confirmations. The findings also stated that Martinez failed to provide a customer with best execution.
|
June 2008
|
|
Martinez, Christopher Jacob
|
Tucson, AZ
|
Barred
|
Martinez was barred from association with any FINRA member in any capacity. The sanction was based on findings that Martinez withdrew $51,300 from the firm customers' variable annuity accounts without the customers' consent or authorization, and used the money for personal expenses. The findings stated that Martinez failed to respond to FINRA requests for information and documents. (FINRA Case #2007010851901)
|
October 2009
|
|
Martinez, Darwin Raul
|
Queens Village, New York
|
Barred
|
He stole property worth $6,000 from public customers of his member firm.
|
July 2005
|
|
Masceri, Gregory Roy
|
Rochester, New York
|
Barred
|
Masceri forged public customers' signatures on insurance documents without the customers' authorization or consent. The findings also stated that Masceri responded untruthfully to NASD requests for information.
|
March, 2007
|
|
Massey, Craig Edward
|
Rotonda West, FL
|
Barred
|
Massey willfully failed to amend his FormU4 to disclose a material fact. The findings stated that Massey failed to respond to FINRA requests for information.
|
January 2008
|
|
Mathis, Frederick Lee
|
Marietta, GA
|
Barred
|
Mathis used his manager's user identification and password to
make unauthorized credits to his brokerage account at his member firm and to his bank account at his firm's bank affiliate.
|
May 2009
|
|
Mathis, Kevin Lee
|
San Antonio, TX
|
Barred
|
Mathis misappropriated more than $60,000 from a deceased public customer's account. The findings stated that Mathis converted customer funds to his own use by submitting false check requests and depositing the proceeds into his own bank account. The findings also stated that Mathis made unauthorized trades in the deceased customer's account. The findings also included that Mathis obtained a debit card in the customer's name, which was used to withdraw cash from the customer's account and to charge personal expenses. FINRA found that Mathis failed to respond to FINRA requests to
provide testimony.
|
September 2008
|
|
Matney, Todd M.
|
Fairport, NY
|
Barred
|
Matney willfully failed to disclose material information on his Form U4 and failed to respond to FINRA requests
for information.
|
July 2009
|
|
Matsuda,
Clay Katsumi
|
Montebello,
California
|
Barred
|
He failed to respond to NASD requests for
documents and information.
|
September
2005
|
|
Mattes, Sr., William Dennis
|
Wheeling, IL
|
Barred
|
Mattes created an Automatic Teller Machine (ATM) card in the name of one of his customers and used it to make unauthorized withdrawals from the customer's accounts.
|
February 2008
|
|
Matthews, Raymond Edward
|
Mansfield, TX
|
Barred
|
Matthews forged the public customers' signatures on life insurance applications and failed to respond to FINRA requests for testimony.
|
March 2008
|
|
Matz, Erik Joseph
|
Hicksville, New Jersey
|
Barred
|
Matz engaged in churning and excessive trading in publiccustomer accounts.
|
June 2007
|
|
Mauss, Robert Kurtis
|
Austin, Texas
|
Barred
|
He engaged in private securities transactions without providing prior written notice to his member firm. The findings also stated the he engaged in outside business activities and received compensation in connection with such activity without providing prompt written notice to his member firm.
|
July 2005
|
|
May, III, Fred Luther
|
San Antonio, TX
|
Barred
|
May misappropriated $437,000 from a trust account for which an individual at his member firm acted as trustee.
|
February 2009
|
|
Mayer, Donald Gerard
|
Mason, Ohio
|
Barred
|
He engaged in private securities transactions, but failed to give written notice to his member firm and failed to receive written approval from his member firm, prior to engaging in such activities.
|
February 2006
|
|
Mayol, Frank
|
Yonkers, New York
|
Barred
|
Mayol forged a public customer's signature on an IRA authorization for release of transfer of assets form without the customer's knowledge or authorization.
|
August 2005
|
|
Mazzara, Peter Anthony
|
Chicago, Illinois
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
November 2006
|
|
Mazzella, John Joseph
|
Yonkers, NY
|
Barred
|
Mazzella submitted false preliminary insurance applications
for fictitious customers and a false preliminary insurance application for a customer without the customer's authorization or consent. The findings stated that, as a result of submitting false and unauthorized applications, Mazzella received $3,379.28 in commissions from the insurance company. The findings also stated that Mazzella failed to appear for a FINRA on-the-record interview.
|
July 2009
|
|
McBee, Stacey Joe
|
Suwanee, Georgia
|
Barred
|
McBee opened a securities account with another NASD member firm and failed to disclose to that firm that he was associated with his member firm. The findings stated that he failed to give his member firm written notification that he opened a securities account with another member firm. The findings also stated that McBee engaged in outside business activities, for compensation, without giving his member firm prompt written notice of his outside business activities. The findings further stated that McBee failed to respond to NASD requests for information and documents.
|
August 2006
|
|
McCaffrey, Kevin Paul
|
Grand Rapids, MI
|
Complaint Filed
|
McCaffrey was named as a respondent in a FINRA complaint alleging that he signed a customer's name to a new fixed annuity application and a Substantially Equal Periodic Payments form without her knowledge or consent, and then submitted them to his firm for processing. The complaint alleges that McCaffrey sold securities from the customer's account without her knowledge or consent. (FINRA Case #2007011324701)
|
November 2009
|
|
McCaffrey, Mark Edward
|
Rockville, Maryland
|
Barred
|
He received a check totaling $500,000 from a public customer for investment purposes, deposited the check to a personal bank account, and used the funds for his own benefit. NASD also found that McCaffrey failed to respond to NASD requests for information.
|
April 2005
|
|
McCann, James W.
|
Sioux Falls, South Dakota
|
Barred
|
McCann engaged in outside business activities and failed to notify his member firm, in writing, of the activity and that he would be compensated for his services.
|
May 2007
|
|
McCarthy, Sean Matthew
|
Boston, Massachusetts
|
Barred
|
Pursuant to NASD Rule 9552(h).
|
December 2006
|
|
McCaskill, Carl
|
New York, NY
|
Barred
|
McCaskill borrowed $159,000 from a public customer in breach of his member firm's policies and procedures prohibiting borrowing money from customers without prior written approval.
|
November 2008
|
|
McCauley, James Curtis
|
Longview, Texas
|
Barred
|
McCauley consented to the described sanction and to the entry of findings that he received checks totaling $74,665.90 from a public customer to purchase securities and instead, converted the funds to his own use and benefit.
|
July 2006
|
|
McClellan, Michael David
|
Fort Wayne, IN
|
Barred
|
McClellan recommended and effected securities transactions in a public customer's account without having a reasonable basis for believing that the recommendations and resultant transactions were suitable for the customer based upon the customer's financial position. The findings stated that McClellan failed to respond to NASD requests for information.
|
September 2007
|
|
McClellan, Michael Harold
|
Bakersfield, CA
|
Barred
|
McClellan was appointed trustee for trusts public customers' established and, without authorization, disbursed $301,127.59 from the trusts' bank and money market accounts and a trust's brokerage account, and used the funds for his own benefit,
thereby converting $301,127.59 of the trusts' assets.
|
July 2008
|
|
McComas, Anthony Stephen
|
Guaynabo, Puerto Rico
|
Barred
|
He converted $466,827 of a customer's funds to his own use and benefit without the customer's knowledge, authorization, or consent.
|
May 2005
|
|
McCown,
Derek Robert
|
Richmond,
Virginia
|
Barred
|
He forged, or caused to be forged, a public
customer’s signature authorizing $170,000 to be electronically transferred
from the customer’s account to a bank account he controlled, then used the
funds for his own benefit.
|
November
2005
|
|
McCarthy, Eugene C.
|
Rockville Centre, New York
|
Barred
|
Violated NYSE Rule 477 by failing to comply with a written request for testimony.
|
May 2006
|
|
McCauley, James Curtis
|
Longview, Texas
|
Barred
|
McCauley consented to the described sanction and to the entry of findings that he received checks totaling $74,665.90 from a public customer to purchase securities and instead, converted the funds to his own use and benefit.
|
July 2006
|
|
McCoy, Lawrence Maxwell
|
Kentwood, MI
|
Barred
|
McCoy consented to the described sanction and to the entry of findings that he converted funds belonging to an elderly public customer totaling approximately $44,000 without her knowledge and consent by contacting the mutual fund company that held her funds and requesting numerous redemptions. The findings stated that McCoy converted additional funds belonging to the customer totaling $34,000, without her knowledge and consent, by forging her checks and making them payable to a company he controlled that was disclosed to his firm as an outside business activity. (FINRA Case #2008013278101)
|
December 2009
|
|
McDonald, Patricia S.
|
Brooklyn, NY
|
Barred
|
Pursuant to FINRA Rule 9552(h)
|
November 2009
|
|
McEwen, Mark
|
St. Charles, MO
|
Complaint Filed
|
McEwen was named as a respondent in a FINRA complaint alleging that he converted $32,528.56 from a customer by falsely informing her that a check McEwen's member firm sent to her was sent by mistake and actually represented commissions that his firm owed him. The complaint alleges that McEwen instructed the customer to deposit the check into her bank account and then make a check payable to him in the same amount. After the customer followed these instructions, McEwen cashed the check and deposited the funds into his personal bank account. The complaint also alleges that McEwen converted $31,000 from the customer by depositing checks into his personal bank account that were either intended for investment in the customer's account or represented unnecessary or grossly inflated purported expenses associated with McEwen's suggestion that he could assist the customer's grandchildren in becoming associated with McEwen's firm. The complaint further alleges that McEwen's firm reimbursed the customer $63,528.56 for the funds she provided to McEwen and he did not contribute to the settlement. In addition, the complaint alleges that McEwen failed to appear for FINRA on-the-record testimony. (FINRA Case #2008014940601)
|
January 2010
|
|
McGarrah, Richard Allen
|
Tyrone, GA
|
Barred
|
McGarrah instructed his assistant to withdraw $60,000 from
the joint account of his customers, who were relatives, and make the check payable to them, forged their signatures on the issued check and deposited it into his personal account, without their knowledge or consent. The findings stated that McGarrah subsequently wrote a letter on firm letterhead, informing the customers that the withdrawal was an error and was being rectified, and forged the signature of a supervisor who was no longer employed at the firm to conceal his conversion of customer funds. The findings also stated that McGarrah failed to appear for a FINRA on-the-record interview.
|
March 2009
|
|
McHugh, Riley Kenneth
|
Reno, NV
|
Barred
|
McHugh participated in private securities transactions without prior written notice to, or prior written approval from, his member firm. The findings stated that McHugh failed to respond to FINRA requests for information and documents.
|
November 2008
|
|
McKeever, Laurence J.
|
Pearl River, NY
|
Barred
|
McKeever failed to appear for FINRA on-the-record interviews.
|
May 2009
|
|
McKenney, Larry Joseph
|
Apopka, FL
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
October 2007
|
|
McKinney, Matthew T.
|
Issaquah, WA
|
Barred
|
McKinney was assigned a corporate credit card by an affiliate of his member firm and, without the knowledge, authorization or consent of the affiliate or the firm, used the credit card to purchase merchandise for his personal benefit and purchased additional merchandise for his personal benefit which was billed directly by the vendors to the affiliate.
|
May 2009
|
|
McKinnon, Peter Frederick
|
Beaverton, Oregon
|
Barred
|
He converted $180,000 from public customers' accounts for his own personal use. The findings stated that McKinnon failed to respond to NASD requests for documents and information.
|
March 2006
|
|
McKnight, Brian Lee
|
Westchester, Ohio
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
July 2007
|
|
McLaughlin, Kenneth Lee
|
Akron, Ohio
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
August, 2006
|
|
McLaughlin, Scott Alan
|
Zionsville, IN
|
Barred
|
Pursuant to FINRA Rule 9552(h)
|
June 2009
|
|
McMichael, Brian-James O.
|
Terrytown, LA
|
Barred
|
Pursuant to FINRA Rule 9552(h)
|
January 2010
|
|
McMillan, David Lee
|
Bullhead City, Arizona
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
February, 2007
|
|
McNulty, Michael Kevin
|
Levittown, NY
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
September 2007
|
|
McVey, Ross James, (Jr.)
|
Oshkosh, Wisconsin
|
Barred
|
He prepared and submitted documents on which the purported signatures of public customers were affixed without their knowledge or consent so that he could obtain payments for financial plans that he did not provide to the customers; as a result, the customers were improperly charged fees totaling more than $120,000 that were paid to and used by McVey.
|
January 2005
|
|
Medansky,
David Bruce
|
Phoenix,
Arizona
|
Barred
|
He obtained a credit card in the name of an
individual by submitting an application and representing himself to be the
individual.
|
September
2005
|
|
Medeck, Keith Howard
|
Bayport, New York
|
Barred
|
Medeck recommended transactions to a public customer without having reasonable grounds for believing that such transactions were suitable for the customer in light of the size and frequency of the transactions, the nature of the customer's account and his financial situation, investment objectives and needs. The findings stated that Medeck intentionally and aggressively churned the customer's account to generate commissions. This decision has been appealed to the NAC, and the sanctions are not in effect pending consideration of the appeal.
|
March, 2007
|
|
Medina, Carlos Omar
|
North Miami Beach, Florida
|
Barred
|
In connection with the sale of an unregistered security, he falsified documents and acted unethically by knowingly providing false information to his member firm to deceive and mislead the firm while it was investigating the facts and circumstances of the unregistered security sale.
|
March 2006
|
|
Melnick, Philip Benjamin
|
Staten Island, New York
|
Barred
|
Melnick engaged in a series of transactions designed to improve the national best bid or offer quote for NASDAQ securities to enable him to trade in those securities at more favorable prices. The findings stated that, by engaging in this conduct, Melnick caused a communication to be published or circulated that purported to report a transaction, bid price or asked price as bona fide when it was not. He is ordered to reimburse the entity he defrauded $3,086.44, plus interest.
|
May 2006
|
|
Melton, Marqusia Shanti
|
Milwaukee, Wisconsin
|
Barred
|
Melton failed to respond to NASD requests for information. The findings stated that Melton failed to disclose material information on her Form U4.
|
November 2006
|
|
Menendez, Dale Robert
|
East Moriches, NY
|
Complaint Filed
|
Menendez was named as a respondent in a FINRA complaint alleging violations in two customer accounts. The complaint alleges that Menendez executed transactions the first customer's account without the customer's knowledge or consent. With regard to one of the transactions, the complaint alleges that Menendez charged a markup that violated an agreement with the customer. The complaint also alleges that Menendez falsely reported to his firm that one of the sales of securities from this account was unsolicited. The complaint further alleges that Menendez cold-called an elderly individual and persuaded him to open a brokerage account at his member firm, and made unsuitably excessive trades in the customer's account that were inconsistent with the customer's objectives and financial situation. In addition, the complaint further alleges that Menendez mischaracterized solicited trades in the customer's account as "unsolicited," causing his firm's books and records to be inaccurate. Furthermore, the complaint alleges that Menendez failed to respond to FINRA requests for on-the-record testimony. (FINRA Case #2007007400501)
|
December 2009
|
|
Menendez, Michael J.
|
Chandler, AZ
|
Barred
|
Menendez misappropriated approximately $3,000 thatbelonged to his member firm's affiliated bank and failed to respond to FINRA requests for information.
|
October 2007
|
|
Menlove, Arthur James
|
Ann Arbor, Michigan
|
Barred
|
He failed to respond to NASD requests for information, documents, and to appear to give testimony.
|
February 2005
|
|
Mentz Jr., Richard Wayne
|
Scottsdale, AZ
|
Barred
|
Mentz recommended and effected transactions in a publiccustomer's account that were unsuitable in light of the customer's age, financial situation and investment objective of income. The findings stated that Mentz' churning of the customer's account was egregiously excessive and demonstrated his intention to enrich himself at the customer's expense.
|
December 2007
|
|
McMillan, David Lee
|
Bullhead City, Arizona
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
February, 2007
|
|
Meister, Adam George
|
Evans, GA
|
Complaint Filed
|
Meister was named as a respondent in a FINRA complaint alleging that he participated in private securities transactions without prior written notice to his member firm, completed a Firm questionnaire stating that he understood he could not sell securities away from the firm, and falsely represented that he had not engaged in unapproved transactions. The complaint alleges that Meister made material misrepresentations and/or omissions in the sale of a security to a customer and recommended that she purchase an investment in the security without having a reasonable basis to believe that the investment was suitable given the customer's financial condition and circumstances. (FINRA Case #2007011919001)
|
January 2010
|
|
Melton, Ruby Louise
|
Pomfret, MD
|
Barred
|
Melton willfully failed to disclose material information on her FormU4 and failed to respond to FINRA requests for information.
|
July 2009
|
|
Mennemeyer, Daniel Kevin
|
Evanston, IL
|
Barred
|
Mennemeyer used the identification information of an elderly public customer, without her knowledge or approval, to obtain a credit card in the customer's name which he used, committing credit card fraud to pay his business and personal expenses totalling $11,670 which he failed to repay to the customer.
|
December 2008
|
|
Menz, Theresa Jane
|
Columbus, Ohio
|
Barred
|
Without a public customer's knowledge or consent, she withdrew $4,327.78 funds from the customer's bank account for her own benefit. The findings stated that Menz converted funds from another customer's account in order to repay the funds she had previously taken from the other customer.
|
February, 2007
|
|
Merhi, Ralph
|
Boca Raton, Florida
|
Barred
|
The NAC imposed the sanctions following an appeal of an OHO decision. The sanctions were based on findings that Merhi traded excessively in a public customer's account and exercised discretion in the account without the customer's written authority, and without his member firm's approval of the account as discretionary.
|
May 2007
|
|
Meyer, Glenn James
|
Mt. Sinai, NY
|
Barred
|
Meyer failed to appear for a FINRA on-the-record interview.
The findings stated that Meyer participated in a private securities transaction, for compensation, and failed to give prior written notice to, and receive written approval from, his member firm.
|
February 2009
|
|
Meyer, Thomas William
|
Mishawaka, Indiana
|
1-Year Bar
|
Violated NYSE Rule 476(a)(6) by effecting unauthorized trades in customer accounts and by effecting transactions that were unsuitable in view of customers' investment objectives, prior investment experience, and financial resources; violated NYSE Rule 408(a) by exercising discretionary power in effecting transactions in customer account without obtaining written authorization; violated NYSE Rule 351(d) by failing to report customer complaint to member firm employer; violated NYSE Rule 477 by failing to respond in timely manner to NYSE requests that he submit written explanation regarding certain matters which occurred prior to termination of his employment with member organization.
|
August 2006
|
|
Meyers,
John M.
|
Coram,
New York
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
May 2007
|
|
Miceli, Mario J.
|
Scarsdale, NY
|
Barred
|
Miceli forged customers' signatures on insurance policy-related documents, without the customers' knowledge, authorization or consent, to expedite the processing of the
|
June 2009
|
|
Michelin, Franklyn
|
Boca Raton, FL
|
Barred
|
Charges of manipulation, fraud, excessive markups, sales of unregistered securities, books and records violations, and supervisory violations in two pending enforcement actions against the firm. Both matters were scheduled to go before NASD hearing panels. As part of the settlement, LH Ross and Michelin agreed to withdraw their appeals of three previous NASD hearing panel decisions that found, among other things, that LH Ross had engaged in widespread fraud in the sales of unregistered securities in multiple self-offerings and that LH Ross and Michelin had failed to cooperate with NASD investigators. Those previous decisions collectively imposed sanctions that included expelling LH Ross (twice), barring Michelin, ordering the payment of more than $11.45 million in restitution to harmed investors, and imposing $550,000 in fines. Those sanctions are now final.
In recent months, NASD has used two of its emergency powers for the first time to protect investors from LH Ross's ongoing fraudulent and illegal sales activities by issuing its first temporary cease-and-desist order in August 2004, and its first summary suspension of a securities firm in February 2005. "Using its cease-and-desist authority, NASD put an immediate halt to the firm's continuing fraudulent sales activity," said NASD Vice Chairman Mary L. Schapiro. "Later, NASD used its summary suspension authority to halt the firm's remaining operations. Through its vigilance and dedication to investor protection, NASD succeeded in bringing this fraudulent enterprise to an end."
At its peak, LH Ross operated 17 branch offices around the country and employed approximately 180 brokers.
|
November 2005
|
|
Midgley, Jason Charles
|
Boynton Beach, Florida
|
Barred
|
Midgley participated in private securities transactions without notifying his member firm. The findings stated that Midgley made an unsuitable recommendation to a public customer, failed to respond to NASD requests for information and failed to appear for testimony.
|
April 2007
|
|
Millage, Virginia Kaye
|
Puyallup, Washington
|
Barred
|
She converted proceeds totaling $5,000 belonging to a public customer for her own use and benefit.
|
August 2005
|
|
Miller, Brian Clark
|
Bryan, Texas
|
Barred
|
He received $4,215.26 in insurance premium payments from customers of an insurance affiliate of his member firm, improperly withheld the payments, and deposited the money in his operating bank account, thereby converting the funds to his own personal use and benefit without the knowledge or consent of the customers or the insurance affiliate.
|
January 2005
|
|
Miller,
Gerald Stuart
|
Fresno,
California
|
Barred
|
He received checks totaling $23,760 from
public customers for investment purposes but deposited the checks to his
personal bank account, thereby converting the funds for his own use and
benefit.
|
December
2005
|
|
Miller, James Joseph
|
Tampa, FL
|
Barred
|
Miller received $176,942 from customers to be deposited into their respective brokerage accounts but, instead, he deposited the funds into his personal bank account without the customers' authority, and used the funds to pay for his own personal expenses.
|
April 2009
|
|
Miller, Marshell Earl
|
Maumelle, AR
|
Complaint Filed
|
Miller was named as a respondent in a FINRA complaint alleging that he engaged in unsuitable and excessive trading in customers' accounts, resulting in significant commissions for him and losses for his customers. The complaint alleges that Miller recommended and effected transactions in customers' accounts without having reasonable grounds for believing that such transactions were suitable for his customers in view of the size and frequency of the transactions, the transaction costs incurred, the nature of the accounts, and the customers' objectives and needs. The complaint also alleges that Miller engaged in a pattern of active, short-term trading with little or no economic benefit for his customers.
|
July 2009
|
|
Miller, Stephen Paul
|
Rockland, Maine
|
Barred
|
Miller effected an unauthorized mutual fund transaction by forging a public customer's signature on a new account application, a mutual fund disclosure and authorization form, an Individual Retirement Account (IRA) application, and a request for transfer of assets.
|
May 2007
|
|
Miller, Vincent John
|
Livonia, NY
|
Barred
|
Miller consented to the described sanction and to the entry of findings that he made a recommendation to an elderly customer that the customer invest in shares of a real estate investment trust (REIT). The findings stated that the customer withdrew funds from existing investments and gave Miller over $1million to purchase REIT shares. The findings also stated that Miller only invested a portion of the customer's funds in REIT shares and misappropriated $433,543.22 of the funds by depositing the checks into his personal bank account for his personal use, including gambling, mortgage payments, credit card bills and other personal expenses. The findings also
included that Miller failed to respond to FINRA requests for information. (FINRA Case #2008012562901)
|
December 2009
|
|
Mills, Walter Andrew
|
San Diego, CA
|
Barred
|
Mills, of Griffin, Mills & Long, LLC, in participation with other registered representatives, sold common stock; and in contravention of the terms of the private placement memoranda, instructed public customers who participated in the offering to make their checks payable to a company Mills owned and controlled that was not a FINRA member firm, or to wire transfer funds directly to the company's bank account. The findings stated that by directing customer funds to the company's account, the customer funds were commingled with funds unrelated to the offering; and Mills, used the proceeds in a manner contrary to the representations made to the customers in the private placement memoranda. The findings also stated that Mills failed to fully respond to NASD requests for information and documents.
|
September 2007
|
|
Milstein-Roth, Steve Eric
|
West Hollywood, California
|
Barred
|
He participated in private securities transactions without prior written notice to, or approval from, his member firm.
|
August 2005
|
|
Mirman, Alvin Saul
|
Sarasota, FL
|
Barred
|
Mirman failed to respond to a FINRA request to appear for an on-the-record interview.
|
October 2007
|
|
Minerva, John Daniel
|
Jackson, New Jersey
|
Barred
|
He participated in a private securities transaction without prior written notice to, or prior written approval from, his member firm.
|
August 2005
|
|
Minka, Robert Stephen
|
Vacaville, California
|
Barred
|
He consented to the entry of findings that he permitted a statutorily disqualified person to be associated with their member firm.
|
January 2005
|
|
Minnalez, Margie Emilia
|
Seattle, Washington
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
April 2007
|
|
Minor, Corey Dwayne
|
DeSoto, Texas
|
Barred
|
Minor misused public customer funds by depositing $18,800 designated for the purchase of corporate bonds into an account he controlled, then sent, or caused to be sent, account statements to customers falsely showing that he had purchased the bonds. The findings stated that Minor failed to timely and completely respond to NASD requests for documents.
|
November 2006
|
|
Miranda, Eduardo Jose
|
Lutz, Florida
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
December 2005
|
|
Mirabal, Jose Rafael
|
Weston, FL
|
Barred
|
Mirabal failed to respond to FINRA requests for information and to provide testimony.
|
November 2007
|
|
Mitchell,
Brian Robert
|
Yorktown
Heights, New York
|
Barred
|
He purchase or sale of securities, and
through the means of instrumentalities of interstate commerce, including the
mails, he employed a device, scheme or artifice to defraud; obtained money or
property by means of an untrue statement of material fact or omission to
state material facts necessary to make the statement not misleading; and
engaged in transactions, practices or courses of business that operate as a
fraud or deceit upon a public customer. The findings stated that Mitchell
prepared and issued, or caused to be prepared and issued to the trustees of
the customer account, false account statements, confirmation statements and
Forms 1099 of the Internal Revenue Service that purported to represent the
performance of the customer account to conceal his misconduct, and that
overstated the value of the customer’s account by several million dollars.
|
December
2005
|
|
Mitchell, Joel S.
|
Lanoka Harbor, NJ
|
Barred
|
Mitchell changed a public customer's address for her individual retirement accounts to his own address without her authorization or consent, entered numerous unauthorized redemptions of mutual fund shares in the accounts, forged the customer's signature on checks totaling $44,697.70, then converted the proceeds for his own use and benefit. The findings stated that Mitchell improperly opened several credit card accounts in the customer's name, listed himself as an authorized user and obtained $63,169.16 in cash advances, which he misappropriated for his own use and benefit.
|
April 2008
|
|
Mitchell, Maura Ellen
|
Miami Beach, FL
|
Barred
|
Mitchell accessed her member firm's computer system
and entered securities sales transactions in variable annuity sub-accounts for public customers and applied the proceeds of the sales to purchase different securities in their variable annuity policies, without their knowledge or consent. The findings stated that Mitchell provided false and misleading information and testimony to FINRA.
|
July 2008
|
|
Mize, Cheryl Lynn
|
Indianapolis, Indiana
|
Barred
|
She willfully failed to disclose material facts on her Form U4. The findings stated that Mize failed to respond to NASD requests for information and documents.
|
April 2006
|
|
Mizenko, Mark Francis
|
Kent, Ohio
|
Barred
|
He committed forgery by tracing a corporate officer's name onto a document without his knowledge or permission and by using his notary seal to affix a purported corporate seal onto a document.
|
April 2005
|
|
Mizrachi, Joseph
|
Boca Raton, FL
|
Barred
|
The U.S. Court of Appeals upheld the SEC's decision to affirm the sanctions that FINRA imposed based on findings that the Mizrachi failed to respond to FINRA requests for information.
|
July 2009
|
|
Moeller, Mark John
|
Birmingham, Michigan
|
Barred
|
He received a $3,681 dividend check payable to a public customer, failed to place the funds into the customer's investment account as directed, and deposited the check bearing a forged endorsement of the customer into his personal checking account without the customer's knowledge and consent and used the funds for his own use and benefit and not for the benefit of the customer.
|
January 2005
|
|
Molina, Frank Casillas
|
Tucson, AZ
|
Barred
|
Molina failed to appear for a FINRA on-the-record interview, and failed to provide information or requested documents. (FINRA Case #2008012081301)
|
August 2009
|
|
Molina, Miguel Angel
|
Salt Lake City, UT
|
Barred
|
Molina received $8,813 from public customers intended for payment of insurance premiums and either failed to forward the full payment amounts or did not forward any of the payments to the insurance company. The findings stated that Molina acted without the customers' knowledge or consent when he failed to apply the premium payments to the customers' insurance policies and, instead, withheld the money for his personal use and benefit.
|
May 2008
|
|
Molinet, Louis
|
Braunefels, TX
|
Barred
|
Pursuant to Rule 9552(h)
|
March 2009
|
|
Mone, Christopher Rodger
|
Concord, Ohio
|
Barred
|
Mone consented to the described sanction and to the entry of findings that he failed to respond to NASD requests for information.
|
July 2006
|
|
Monett, Marcus Keith
|
Glen Allen, Virginia
|
Barred
|
Monett failed to timely respond to NASD requests for information, or to respond at all.
|
June 2006
|
|
Moon, Tamara Lanz
|
Redwood City, CA
|
Barred
|
The Financial Industry Regulatory Authority (FINRA) has barred Tamara Lanz Moon of Redwood City, CA, from the securities industry for wrongfully taking over $850,000 in
funds from at least 22 customers, including her own father. Moon was also charged with falsifying numerous account records, engaging in unauthorized trades in customer
accounts and related recordkeeping violations.
|
October 2009
|
|
Moore, Gordon Robert
|
Longmont, CO
|
Barred
|
Moore falsified documents concerning the 401k accounts of public customers, falsely represented the employment status of the account holders, and affixed, without authorization, the signature of a payroll/human resources representative on each of the falsified forms.
|
December 2008
|
|
Montalvo, Penny Dorton
|
Winter Springs, Florida
|
Barred
|
Montalvo made improper use of public customers' funds in that she notarized what was purported to be the customers' signatures on a Letter of Authorization (LOA) requesting a $1,000 wire transfer from the customers' account to a bank account in the name of Montalvo's family member, without the customers' authorization.
|
May 2007
|
|
Montgomery, Alfred Peter
|
Baton Rouge, Louisiana
|
Barred
|
He failed to disclose material information on his Form U4.
|
August 2005
|
|
Moorehead, James B.
|
Starkville, MS
|
Barred
|
He engaged in fraud, forgery, and falsification of documents in connection with variable annuity sales. The transactions took place between March 2000 and April 2001 while he was a registered representative of AmSouth Investment Services, Inc. NASD found that he misrepresented the risks associated with investing in variable annuities and purposefully omitted risk disclosure statements from the performance hypotheticals his firm sent to customers. He also either forged, or caused his assistant to forge, customer signatures on 125 "Purchase Authorization Forms." These documents were intended to reflect customers' authorization to him to purchase variable annuities. He also tried to make his variable annuity recommendations appear suitable by falsifying the suitability information on the Purchase Authorization Forms and on "Client Confidential Profiles." He directed his assistant to complete the forms with inaccurate information concerning the financial needs and condition of the customers.
|
January 2005
|
|
Montoya, Fredd E.
|
Miami, Florida
|
Barred
|
Montoya willfully failed to disclose material fact on his Form U4. The findings stated that Montoya failed to respond to NASD requests for information.
|
September, 2006
|
|
Moore, Barron
|
Annaheim, CA
|
Expelled
|
Moore sold more than 6.75 million shares of unregistered
stock of three companies, on behalf of seven customers, resulting in unlawful proceeds of more than $975,000. Moore opened accounts for numerous customers who repeatedly deposited large numbers of unregistered shares of thinly traded securities into those accounts, sold those securities and then wired the proceeds out of the accounts.
|
September 2008
|
|
Morales, Mario
|
Chicago, IL
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
January 2008
|
|
Moran,
Patrick John
|
Paradise
Valley, Arizona
|
Barred
|
He failed to respond to an NASD request for
information.
|
September
2005
|
|
Morandini, Rose Pauline
|
Shelby Township, MI
|
Barred
|
Acting with scienter, Morandini directly or indirectly, in connection with the purchase 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 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 that operated, or would operate, as a fraud or deceit upon purchasers or prospective purchasers and effected transactions in, or induced the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance. The findings stated that Morandini engaged in private securities transactions without prior written notice to, and written approval from, her member firm. The findings also stated that Morandini failed to respond fully to FINRA requests for documents and information. The findings also included that Morandini failed to cooperate with her firm's inquiry regarding her activities.
|
September 2008
|
|
Morawski, Jason John
|
Bayshore, NY
|
Barred
|
Morawski willfully failed to disclose material information
on Forms U4 and failed to respond to FINRA requests for information.
|
July 2008
|
|
Morehouse, Max
|
New Huntington Station, NY
|
Barred
|
Morehouse made withdrawals totaling $240 from a public
customer's bank account using a temporary automatic teller machine (ATM) card he had linked to the account, and without the customer's knowledge or consent, converted the funds for his personal use.
|
October 2008
|
|
Moreira, Anny C.
|
New York, New York
|
Barred
|
Pursuant to NASD Rule 9552 (d)
|
September 2005
|
|
Morgan, Richard James
|
Missouri City, Texas
|
Complaint Filed
|
Named as a respondent in an NASD complaint alleging that he failed to respond to NASD requests to appear for an on-the-record interview. The complaint also alleges that Morgan effected stock and option transactions in public customers' accounts without their written authorization to use discretion in their accounts and without his member firm's written acceptance of the accounts as discretionary. The complaint further alleges that Morgan exercised discretion to effect excessive unsuitable stock and option transactions in public customers' accounts.
|
July 2006
|
|
Morris, Alan Earl
|
Unknown
|
Consent to censure and permanent bar.
|
Violated Exchange Rule 477 by failing to comply with requests to testify.
|
October 20, 2005
|
|
Morris, Christopher Michael
|
Murrells Inlet, SC
|
Barred
|
Morris was barred from association with any FINRA member in any capacity. The sanction was based on findings that Morris failed to appear for a FINRA on-the-record interview. (FINRA Case #2007009430001)
|
November 2009
|
|
Morris, Douglas Jerry
|
Bartlett, TN
|
Barred
|
Morris failed to amend his FormU4 with material informationand failed to respond to FINRA requests for information.
|
November 2007
|
|
Morris, Frank Caleal
|
Ann Arbor, Michigan
|
Barred
|
Pursuant to NASD Rule 9552 for failure to provide information requested under NASD Rule 8210.
|
June 2005
|
|
Morrison,
Raymond James (Jr.)
|
Madison,
New Jersey
|
Barred
|
He received $750 from public customers to
pay the premium on a homeowner policy.
|
December
2005
|
|
Morrissey, Danielle
|
Los Angeles, California
|
Censure and a permanent bar
|
Morrissey failed to disclose her prior criminal history, including a conviction that rendered her statutorily disqualified, on an application for employment submitted to her member firm employer and failed to comply with one or more written requests by NYSE Regulation for information concerning a matter that occurred prior to the termination of her employment with her member firm employer.
|
March, 2007
|
|
Morriston, Tamra Renee
|
Summersville, WV
|
Barred
|
Morriston engaged in outside business activities without her member firm's prior written notice. The findings stated that Morriston failed to comply with FINRA requests for information and documents, and failed to appear for a FINRA on-the-record interview.
|
February 2009
|
|
Moss, Joshua William
|
Atlanta, GA
|
Barred
|
Moss was barred from association with any FINRA member in any capacity. The sanction was based on findings that Moss failed to respond to requests for information. The findings stated that Moss willfully failed to disclose material facts on his Form U4. (FINRA Case #2008014116901)
|
November 2009
|
|
Motarjeme, Richard Kevin
|
Denver, Colorado
|
Barred
|
Pursuant to NASD Rule 9552 (h)
|
November 2005
|
|
Mouallem, Roger Jack
|
Boca Raton, FL
|
Complaint Filed
|
Mouallem was named as a respondent in a FINRA complaint alleging that, by the use of any means or instrumentality of interstate commerce or of the mails, Mouallem knowingly or recklessly engaged in manipulative or deceptive devices or contrivances in connection with the purchase or sale of securities, and knowingly or recklessly effected transactions in, or induced the purchase or sale of securities by means of manipulative, deceptive or other fraudulent devices or contrivances. The complaint alleges that, in concert with a customer, Mouallem willfully engaged in a series of manipulative trades in a company's common stock in an attempt to artificially stabilize or inflate the price of the security. (FINRA Case #2007009934703)
|
January 2010
|
|
Mounts, Edward Ray
|
South Charleston, WV
|
Barred
|
Mounts engaged in an outside business activity, for compensation, without providing prompt, written notice to his member firm.
|
November 2007
|
|
Mudry, Robert Donald
|
Ridgewood, NJ
|
Barred
|
Mudry, while associated with a member firm, engaged in securities activities requiring registration at a time when he was not registered.
|
December 2008
|
|
Mullins, John Edward
|
New Jersey
|
Barred
|
Financial Industry Regulatory Authority (FINRA) Hearing Panel has barred John Edward Mullins, a former registered representative with Morgan Stanley DW, Inc., for misappropriating $11,156.47 from the charitable foundation of a 97-year old nursing home resident and widow who was his client for more that 20 years.
|
November 2009
|
|
Mullins, Kathleen Maria
|
Margate, NJ
|
Complaint Filed
|
FINRA charged Mullins with accepting a loan from a 97-year-old nursing home resident who was a Mullins' client for more than 20 years, and making misstatements on her FormU4 and annual compliance questionnaires. She was also charged, along with her husband John Edward Mullins, with failure to adhere to high standards of commercial honor and just and equitable principles of trade.
|
April 2008
|
|
Multhaup, Karen
|
Auburn Hills, Michigan
|
Barred
|
Pursuant to NASD Rule 9552 for failure to provide information requested under NASD Rule 8210.
|
December 2004
|
|
Mulvey, Jr., Thomas James
|
Lincoln, RI
|
Complaint Filed
|
Mulvey was named as a respondent in a FINRA complaint alleging that he engaged in unauthorized transactions in a customer's account, in that he liquidated all of the customer's mutual fund shares and then invested $75,000 in proceeds in a variable annuity without discretionary authorization or power of attorney. The complaint alleges that Mulvey falsely certified on a firm form that he had obtained identification information directly from the customer. The complaint also alleges that Mulvey inserted false information on the form and submitted the form to his member firm, causing it to maintain a false record.
|
June 2008
|
|
Murdough, Charles Robert
|
Buffalo, NY
|
Barred
|
Murdough borrowed $25,000 from a public customer, contrary to his member firm's policy prohibiting registered representatives from borrowing money from customers unless they were family members. and failed to respond to FINRA requests for information
|
May 2008
|
|
Murphy, William James
|
Midlothian, IL
|
Complaint Filed
|
Murphy was named as a respondent in a FINRA complaint alleging that he exercised discretion in public customers' accounts without the customers' prior written authorization and his member firm's prior written acceptance of the accounts as discretionary. The complaint alleges that Murphy engaged in excessive and unsuitable trading in the customers' accounts in light of their financial situation and investment objectives. The complaint also alleges that Murphy acted with intent to defraud or with reckless disregard for the customers' best interest in order to generate commissions. The complaint further
alleges that Murphy, 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; and engaged in acts, practices or courses of business which operated, or would operate, as a fraud or deceit upon purchasers or prospective purchasers. In addition, the complaint alleges that Murphy recommended, effected and maintained uncovered options positions in a customer's account that were beyond the levels the customer authorized and his firm approved. The complaint also alleges that Murphy caused inaccurate, misleading or otherwise unbalanced communications, including reports and sales literature, to be created and distributed to a customer while he was excessively trading in the customer's options account.
|
September 2008
|
|
Murray, Gregory Thomas
|
Scottsdale, AZ
|
Barred
|
Murray failed to appear to testify at a FINRA disciplinary hearing.
|
June 2008
|
|
Murray, Patricia Estela
|
Birmingham, AL
|
Barred
|
Murray charged a customer at her member firma fictitious account "maintenance fee" when her firm imposed no such fee on customers. The findings stated that Murray directed the customer to pay the fee by way of a personal check written out to "cash."The findings also stated that the customer complied with Murray's instructions and gave her a check for $4,025.61, which Murray subsequently cashed.
|
April 2009
|
|
Myers, Brendon Walter
|
Easton, Pennsylvania
|
Barred
|
Myers informed a public customer that he sold shares of a security when in fact he failed to do so, and created and sent a false sales confirmation statement to the customer. The findings stated that Myers effected unauthorized transactions in customer accounts and falsified order tickets in connection with the purchase of securities in other customer accounts. The findings also stated that in order to evade his member firm's prohibition of soliciting the purchase of the securities, Myers falsely indicated on order tickets that the trades were "unsolicited."
|
July 2007
|
|
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