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DISCLAIMER
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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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O'Brien, Kelly Irene
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Ardmore, Pennsylvania
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Barred
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O'Brien submitted expense reports to her member firm in which she had forged her supervisor's name.
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May 2007
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O'Connor, Christopher Dominick
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Hastings, NY
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Barred
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O'Connor wrongfully converted funds totaling $59,590.41 from a public customer's Individual Retirement Account (IRA) and created a false account statement to conceal his conversion.
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December 2008
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O’Connor,
Rachael Janine
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Jackson,
Michigan
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Barred
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O’Connor failed to respond to NASD requests
for documents and information.
|
December
2005
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O'Hara, Robyn Lynn
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Snellville, GA
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Barred
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O'Hara engaged in multiple trades in customers' accounts at her member firms without the customers' authorization and consent. The findings stated that O'Hara continued
unauthorized trading in one account even after the customer instructed her to cease all trading in the account. The findings also stated that O'Hara failed to appear for FINRA on-the-record testimony. (FINRA Case #2007010775501)
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September 2009
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O'Leary, Richard Francis
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Newport Beach, California
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Barred
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O'Leary failed to respond completely to NASD requests for information and failed to appear for an on-the-record interview.
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April 2005
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O'Neal, Duane Edward
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Indianapolis, IN
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Barred
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O'Neal submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, O'Neal consented to the described sanction and to the entry of the findings that he failed to comply with repeated requests from FINRA to appear and provide testimony in a FINRA investigation. (FINRA Case #2008012579101)
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April 2010
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O'Neill, Michael Francis
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Asbury Park, New Jersey
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Barred
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O'Neill conducted his securities business jointly with an unregistered person who had been barred from associating with a member firm in any capacity for serious misconduct, and O'Neill knowingly violated NASD's registration requirements by compensating the individual for soliciting customers.
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December 2006
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Oatway, Stephen Douglas
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Le Sueur, Minnesota
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Barred
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He converted $65,000 of securities funds of public customers to his own use and benefit without the customers' authorization, knowledge, or consent.
|
July 2005
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Oh, Jae Young
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Los Angeles, California
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Barred
|
Oh, in response to a public customer's request for a current account statement, altered an old account statement misrepresenting that it was the current account statement. The findings stated that Oh failed to respond to NASD requests for information.
|
December 2006
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Okoebor, Anssy Akhabue
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Ladera Ranch, California
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Barred
|
Pursuant to NASD Rule 9552(h)
|
April 2006
|
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Ohle, Corey C.
|
River Ridge, Louisiana
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Barred
|
Ohle withdrew $2,000 from a public customer's savings account without the customer's knowledge or authorization and converted the funds to his own use and benefit. The findings stated that Ohle failed to respond to NASD requests for information.
|
November 2006
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Ohlson, David A.
|
Plainfield, Illinois
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Barred
|
Ohlson consented to the described sanction and to the entry of findings that he failed to disclose a material fact on his Form U4.
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March, 2007
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Oliphant, Bryan Darrell
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Middlebury, Indiana
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Barred
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Oliphant participated in private securities transactions without prior written notice to, or prior written approval from, his member firm. The findings stated that Oliphant failed to respond to NASD requests for information.
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July 2007
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Olivo, Jr., Victor Manuel
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Paramus, NJ
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Olivo engaged in trading on customers' behalf in his member firm's suspense account without his member firm's authorization. The findings stated that Olivo did not record these transactions, leaving his firm unaware of them and causing the firm to experience significant losses. The findings stated that Olivo failed to appear for FINRA on-the-record interviews. (FINRA Case #2009017290101)
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June 2010
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Onayo, Ali Jabbar
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Blue Island, IL
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Barred
|
Onayo submitted a Letter of Acceptance,Waiver and Consent in which he was barred from association with any FINRA member in any capacity.Without admitting or denying the
findings, Onayo consented to the described sanction and to the entry of findings that he obtained checks totaling $4,036 made payable to his member firm's insurance affiliate and deposited them into his bank account without the insurance affiliate's permission and consent, thereby misusing the funds. The findings stated that Onayo failed to respond to FINRA requests for information. (FINRA Case #2008016447801)
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October 2009
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Onizuka,
Ian Sean
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Kailua,
Hawaii
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Barred
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He converted $52,295 he received from public
customers for investment purposes for his own use and benefit.
|
December
2005
|
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Opheim, James Harold
|
Spencer, IA
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Barred
|
Without admitting or denying the findings, Opheim consented to the described sanction and to the entry of findings that he wrongfully converted funds totaling approximately $105,516.54 from customers, and attempted to wrongfully convert funds totaling approximately $60,000 from another customer. The findings stated that Opheim converted, or attempted to convert,
the funds by endorsing the checks that customers provided him without permission or authority and depositing the funds into his own personal account for his use and benefit. (FINRA Case #2009018820201)
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June 2010
|
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Oppenheimer,
John Gregory
|
Raleigh,
North Carolina
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Barred
|
Oppenheimer effected transactions in the
account of a public customer without the customer’s authorization. The
findings stated that he forged the customer’s signature on documents,
including annuity purchase applications, and failed to respond to NASD
requests to provide testimony.
|
October
2005
|
|
Orlando,
Anthony John (Jr.)
|
New
York, New York
|
Barred
|
He engaged in a fraudulent scheme to profit
from the sale of $3.5 million in securities of a company to public customers
though manipulation and the use of high-pressure sales practices, baseless
price projections, unauthorized trades and misrepresentations, and omissions
of material facts.
|
November
2005
|
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Orlando,
Philip Anthony
|
New
York, New York
|
Barred
|
He engaged in a fraudulent scheme to profit
from the sale of $3.5 million in securities of a company to public customers
though manipulation and the use of high-pressure sales practices, baseless
price projections, unauthorized trades and misrepresentations, and omissions
of material facts.
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November
2005
|
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Orosey, Bradford Alan
|
Houston, TX
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Barred
|
The sanction was based on findings that Orosey willfully failed to disclose material information on his Form U4. (FINRA Case #2008013087201)
|
May 2010
|
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Ortiz, Arsenio R.
|
Valley, New York
|
Permanent bar
|
Ortiz misappropriated customer funds by failing to promptly open a New York State 529 College Savings Plan Account as requested by the customer who gave Ortiz $3,000 to open the account. Ortiz used the customer funds to pay his personal mortgage, and made one or more material misstatements to Division of Enforcement.
|
December 2006
|
|
Ortiz, Geoffrey
|
Malibu, CA
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Barred
|
The SEC sustained the sanction following appeal of a NAC decision. Ortiz forged, or caused to be forged, customer initials that approved increased fees on public customer account applications, and was responsible for submitted the forged documents to his member firm. Ortiz provided false and misleading information in response to FINRA requests for information and during a FINRA on-the-record interview.
|
December 2008
|
|
Ortiz-Stronza, Thomas
|
Caguas, Puerto Rico
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Barred
|
He changed the address on a customer account, provided false and misleading account statement to a customer, and forged customer signatures. NASD also found that Ortiz-Stronza misappropriated funds from customers in the amount of $32,588.20.
|
May 2005
|
|
Oruche, Nike Harriet
|
Bensenville, Illinois
|
Barred
|
The sanction was based on findings that Oruche affixed public customers' signatures on withdrawal forms without their knowledge and consents, withdrew a total of $30,500 from their bank accounts, and used the funds for some purpose other than the customers' benefit.
|
May 2006
|
|
Oscar Armando Montenegro
|
Brooklyn, New York
|
Barred
|
Montenegro received $19,975 from public customers for investment and converted the funds to his own use and benefit. The findings also stated that Montenegro provided false testimony during an NASD on-the-record interview. NASD also found that Montenegro created a Web site for his own direct-access trading firm and plagiarized copyrighted material from the Web site of his previous member firm. In addition, NASD found that Montenegro failed to obtain approval for the Web site from a registered principal with the member firm with which he was registered.
|
February 2005
|
|
Osorio, Gloria Rene
|
Joliet, Illinois
|
Barred
|
She failed to respond to NASD requests for documents and information.
|
June 2005
|
|
Ostoich, Christopher Mark
|
Ft. Wright, Kentucky
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
June 2007
|
|
Overbey, Jr., Oscar Donald
|
Evanston, IL
|
Barred
|
Overbey failed to respond to FINRA requests for information.
The findings stated that Overbey borrowed $50,000 from a public customer in violation of his member firm's policy that prohibited registered representatives from borrowing
money from customers unless they were family members.
|
May 2008
|
|
Owenson, Jason Todd
|
Baltimore, MD
|
Barred
|
Owenson, after failing a Series 7 qualification exam, induced a test center employee to provide him with a written exam score report that falsely reflected that he had passed, which he then gave to his member firm purporting it reflected his actual exam score. The findings stated that Owenson provided FINRA with materially false information,failed to provide other requested documents and provided false testimony under oath.
The findings also stated that Owenson submitted a fictitious letter to FINRA on a former employer's stationery purportedly signed by an employee of that company which contained fabricated information.
|
July 2009
|
|
Ozimkowski, Edward George
|
Deerfield Beach, Florida
|
Barred
|
Pursuant to NASD Rule 9552 (d)
|
September 2005
|
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