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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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Takacs, Scott Frederick
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Artesia, New Mexico
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Barred
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Takacs prepared and submitted requests for reimbursements of business travel expenses that he had not incurred to his member firm, and accepted the funds knowing that he had not incurred them. The findings stated that Takacs failed to respond to NASD requests for information and to provide testimony.
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April 2006
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Talbot, Samuel Lackland
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Jacksonville, Florida
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Barred
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Pursuant to NASD Rule 9552(h)
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April 2006
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Tamberella, Bernard Jr.
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Hoboken, New Jersey
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2 - Year Bar
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Violated NYSE Rule 627(g) by failing to satisfy terms of two arbitration awards; violated NYSE Rule 345.12, in that he failed to keep information on his Form U-4 current by failing to amend his Form U-4 to timely report NYSE investigation; violated NYSE Rule 477 by failing to timely cooperate with NYSE investigation.
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July 2006
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Tamburrino,
John Richard
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Manalapan,
New Jersey
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Barred
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He failed to appear for an NASD
on-the-record interview.
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November
2005
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Tanner, Elise Clydean
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Seattle, Washington
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Barred
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She misused the funds of a public customer totaling $15,000 without the knowledge, consent, or authorization of the customer. The findings also stated that she failed to respond to NASD requests for information.
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January 2005
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Tansil, Plase Michael
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Murfreesboro, Tennessee
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Barred
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Tansil made an improper guarantee to public customers, misused customer funds to cover a shortfall regarding the guarantee, made material misrepresentations to customers that their funds would be used for investment purposes, and settled a customer complaint without his member firm'sknowledge or consent.
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June 2007
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Taylor, Marylan Katherine
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Aurora, Ohio
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Barred
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The NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Taylor submitted falsified documents to the insurance division of a state regulator that represented that her insurance licenses were in good standing when in fact they were inactive due to her failure to complete continuing education. The findings also stated that Taylor failed to timely amend her Form U4 to disclose material information and that she failed to respondtruthfully during an NASD on-the-record interview.
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June 2007
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Taskey, Todd Russell
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Potomac, Maryland
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Barred
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Taskey consented to the described sanction and to the entry of findings that he willfully failed to disclose material facts on his Form U4.
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June 2006
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Taussi, Maria Teresa
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Kew Gardens, New York
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Barred
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Taussi converted $80,000 from her member firm for her own use and benefit by cashing checks that were issued to "Cash" and falsely recording that these checks had been paid to vendors.
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May 2007
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Taylor,
Terry Shane
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Bossior
City, Louisiana
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Barred
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He caused public customers’ accounts to be
charged fees for investment advisory services that they had not authorized
and did not receive, by forging, or causing to be forged, customers’
signatures on various documents to authorize the fees to be charged.
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December
2005
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Teamor, Sean
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Escondido, California
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1-Year Suspension
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He willfully failed to disclose material information on his Form U4.
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May 2005
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Teasley, Kevin Levant
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Great Falls, Montana
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Barred
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Teasley misused customer funds totaling $250,000 by not investing the funds as intended.
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July 2005
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Tedeeva, Galina
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Forest Hills, New York
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Barred
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She arranged for an imposter to take the Series 6 and Series 63 qualification exams on her behalf.
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January 2005
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Tejeda, Eduardo M.
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Houston, Texas
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Barred
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Tejeda provided a company with letters on his member firm's letterhead that contained false and misleading representations confirming the company's credit line and funds availability, although he knew the company planned to use the letters in an attempt to secure a loan, the company had no credit line at the firm and had not established an account with the firm.
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July 2007
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Terra, Bryan Christopher
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Monroe, Louisiana
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Barred
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Terra, in his capacity as a personal banker, came into possession of a $650 check deposit to a customer's bank account and converted the customer's funds by depositing the check into his personal bank account. The findings state that Terra failed to respond to NASD requests for information.
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September, 2006
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Tesoriero, Mark
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Holmdel, New Jersey
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Permanent bar at any NYSE member or member organization from functioning in any capacity relating to securities lending including as stock loan trader or "finder," or supervisor thereof
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Violated NYSE Rule 476(a)(6) by participating in a below-market stock loan transaction that caused a lending institution and/or its customers to be deprived of substantial proceeds and significant rebate fees to which they were entitled.
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February, 2007
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Thannert, Michael Steven
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Richfield, Minnesota
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Barred
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Thannert received $3,591.36 from public customers to pay for their insurance policies but failed to do so. The findings stated that Thannert failed to respond to NASD requests for information.
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December 2006
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Thayer, Richard Adam
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St. Clair Shores, MI
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Barred
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Thayer withdrew $2,000 from a public customer's bank account for his own use and benefit. The findings stated that in an attempt to conceal his wrongdoing, Thayer transferred $2,000 from another customer's account to replace the funds taken from the first customer and then transferred $2,000 froma third customer's account to restore the funds taken from the second customer's account. The findings also stated that Thayer failed to respond to NASD requests for information.
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September 2007
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Thelen, Duane Keith
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Comstock Park, Michigan
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Barred
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Thelen failed to respond to NASD requests for information. The findings stated that Thelen received funds from public customers to purchase insurance, but failed to pay the premiums, thereby misusing customer funds.
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August 2006
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Thomas, Jeffrey Steven
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Monroe, Ohio
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Barred
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He withdrew $180,000 from the bank account of a trust account under the guise of using it to pay insurance premiums, diverted the check into two $90,000 cashiers checks, deposited one of the checks into his personal checking account without the approval and authority of the owner, and then converted $70,000 to his own personal use.
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July 2005
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Thomas, Malcolm
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San Antonio, TX
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Barred
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Thomas submitted forged forms for the purpose of requesting compensation for work he had not done to his member firm. The findings stated that Thomas failed to respond to FINRA requests for information and to appear for an on-the-record interview.
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February 2008
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Thomas, Mark Kevin
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Las Vegas, Nevada
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Barred
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He willfully misrepresented a material fact on his Form U4.
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May 2005
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Thomas, Tony Lamont
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Parkville, Maryland
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Barred
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He failed to respond to NASD requests for information. The findings also stated that Thomas forged the signature of a public customer on a variable life insurance application without the customer's knowledge or consent.
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February 2005
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Thompson, Laverne Raymond (Jr.)
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Paw Paw, Illinois
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Barred
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He accepted a $50,000 personal check from a public customer for investment in an account for the customer's daughter, failed to invest the funds as directed, and used the funds for other purposes and not for the benefit of the customer.
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February 2005
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Tiedeken, Jr., Joseph P.
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Holland, OH
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Barred
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Tiedeken failed to completely respond to FINRA requests forinformation and documents. The findings stated that Tiedeken borrowed $11,000 from a public customer contrary to his member firm's written policy that prohibited its registered representatives from borrowing money or securities from customers.
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March 2008
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Tintle, Donald Joseph
|
Middletown, Connecticut
|
Barred
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Tintle received $27,000 from public customers to purchase stock, and deposited the funds in a bank account he controlled without purchasing the stock. The findings stated that Tintle falsely represented that he held various securities licenses and falsely assured a public customer that she owned the stock. The findings also stated that Tintle failed to respond to NASD requests for information and documents.
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February, 2007
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Tirado, Daniel
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Dearborn Heights, Michigan
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Barred
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The sanction was based on findings that Tirado willfully failed to disclose material information on his Form U4, and failed to respond to NASD requests for information.
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July 2006
|
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Tiwari, Teekachand Richard
|
West Harrison, New York
|
Barred
|
He participated in private securities transactions without providing written notification to or obtaining written approval from his member firm. The findings also stated that Tiwari engaged in outside business activities without providing prompt written notice to his member firm.
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July 2005
|
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Tizabi, Jacques
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Los Angeles, California
|
Barred
|
Pursuant to NASD Rule 9552 (h)
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October 2005
|
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Tolbert, Erica Latishia
|
Atlanta, GA
|
Complaint Filed
|
Tolbert was named as a respondent in a FINRA complaint alleging that she caused the issuance of a checkbook for public customers' account with her personal address as the delivery address, and either negotiated or caused checks to be negotiated by a third party, and converted proceeds of $12,200 without the customers' authorization, knowledge orconsent. The complaint alleges that Tolbert failed to respond to FINRA requests for information.
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March 2008
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Toledo, Maximiliano Miguel (II)
|
Miami, Florida
|
Barred
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Toledo falsified his member firm's records so that he could liquidate mutual fund shares in the accounts of public customers.
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July 2005
|
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Toney, Dana Dewitt
|
Las Vegas, NV
|
Barred
|
Toney failed to respond to FINRA requests for information. The findings stated that Toney engaged in outside business activities without providing his member firm with prior written notice.
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April 2008
|
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Torino, Peter Alfred
|
Staten Island, New York
|
Barred
|
He knowingly prepared and submitted a falsified life insurance application and a false death claim to his member firm.
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January 2006
|
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Torres, Edwin John
|
Moraga, California
|
Barred
|
He received $324,000 from a public customer for the purchase of municipal bonds and converted the proceeds to his own use and benefit. The findings also stated that Torres created and sent false invoices to a public customer, purportedly reflecting her investments in municipal bonds that Torres had purchased for her when, in fact, no such bonds had been purchased.
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February 2005
|
|
Torres, Jorge Luis
|
Miami, Florida
|
Barred
|
He withdrew $47,000 from a public customer's account without the customer's knowledge or authorization, and converted the funds for his own use and benefit. The findings also stated that Torres failed to respond to NASD requests for information.
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March, 2007
|
|
Toth, Douglas John
|
Skillman, NJ
|
1-year suspension
|
The NAC imposed the sanction following appeal of an OHO decision. The sanction was based on findings that Toth willfully caused the filing of a FormU4 that failed to disclose a material fact and failed to correct the inaccurate FormU4. This decision has been appealed to the SEC and the sanction is not in effect pending consideration of the appeal.
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October 2007
|
|
Totten, Jr., Douglas Eugene
|
Bradenton, Florida
|
Barred
|
He made recommendations to public customers to purchase variable annuities that were unsuitable.
|
July 2005
|
|
Tran, Chung Dinh, aka Tony Troy
|
Alameda, CA
|
Barred
|
Tran willfully failed to disclose material information on his Form U4 and failed to respond to FINRA requests for documents and information.
|
November 2007
|
|
Tran, Tuyen Quang
|
Forth Worth, TX
|
Barred
|
Tran failed to respond to FINRA requests for testimony. The findings stated that Tran falsified documents by knowingly submitting documents with forged signatures and representing to his member firm that they were genuine.
|
November 2007
|
|
Trevisan, Carl Martin
|
Alexandria, Virginia
|
Barred
|
Trevisan obtained contingent deferred sales charge (CDSC) waivers for customers selling Class B mutual fund shares by falsely claiming that the customers were disabled. This decision has been appealed to the NAC.
|
June 2007
|
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Trigillo, Samuel John
|
Spled, Illinois
|
Barred
|
He transferred a customer's funds from a fixed annuity to a variable annuity without the customer's knowledge or consent. NASD also found that Trigillo affixed another registered representative's signature on customer forms without the registered representative's knowledge or consent
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September 2005
|
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Triglia, John Joseph
|
Smithtown, NY
|
Barred
|
Triglia assisted hedge fund companies in circumventing restrictions that mutual fund companies had imposed on their accounts by moving market timing transactions to other accounts so that the hedge funds made $2,045,263.23 in profits and Triglia made $400,901.97 in management fees on the hedge fund accounts. The findings stated that Triglia failed to respond truthfully to FINRA requests for information and failed to produce requested documents.
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January 2008
|
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Trimmer, Timothy Donald
|
North Myrtle Beach, South Carolina
|
Barred
|
Pursuant to NASD Rule 9552(h)
|
April 2007
|
|
Trimmings, John Christopher
|
Gansevoort, New York
|
Barred
|
He received $60,821.89 from a public customer for investment. The findings stated that without the customer's knowledge or consent, Trimmings misappropriated at least $56,000 of the funds for his own use and benefit.
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