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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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Zamindar, Saleem
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San Francisco, California
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Barred
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Pursuant to NASD Rule 9552(h)
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May 2006
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Zaragoza, Jr., Joseph Andrew
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Chicago, IL
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Barred
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The NAC imposed the sanctions following appeal of a hearing panel decision. The sanction was based on findings that Zaragoza engaged in excessive trading in a public customer's
account that was inconsistent with the customer's investment objectives and financial situation and was thus unsuitable. The sanction was also based on findings that stated that Zaragoza exercised discretion in the customer's account without prior written authorization from the customer and written notice to his ember firm and that he failed to submit pieces of email correspondence to his firm for review and approval. The NAC also found that Zaragoza engaged in outside business activities, for compensation, and failed to provide his member firm with written notice. The NAC declined to impose a sanction for this violation because of the bar imposed for the other violations.
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November 2008
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Zaro, Jordan Paulw
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Chicago, IL
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Complaint Filed
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Zaro was named as a respondent in a FINRA complaint alleging that he created false account statements showing positions in municipal securities and a money market account that a customer did not own, and created the impression that the customer's total investment portfolio was worth $750,000 more than it really was.
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May 2009
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Zeglowitsch, Joseph Edward III
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Pittsburgh, Pennsylvania
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Barred
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The findings stated that Zeglowitsch willfully failed to disclose material information on his Form U4.
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July 2006
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Ziblim, Ibrahim
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Newark, NJ
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Barred
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Ziblim created an ATM card for a banking customer's account without the customer's authorization or consent, and subsequently used the card to withdraw $1,000 from the account, converting the proceeds for his own use and benefit.
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April 2008
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Ziegler, RichardPaul
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Unknown
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Censure and bar until he complies.
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Violated Exchange Rule 477 by failing to comply with requests for a written statement and for testimony.
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June 6, 2005
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Zimmerman, Scott Martin
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Dunwoody, Georgia
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Barred
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He knowingly or recklessly prepared and disseminated misleading offering materials, monthly statements and newsletters to investors in that he made exaggerated, unwarranted and/or misleading statements concerning, among other things, the performance of a private limited partnership compared to the S&P 500, the accuracy of market predictions, the purchasing of insiders compared to sales, the effectiveness and understanding of trading strategies, and indicators of market peaks.
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February 2006
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Zins, Robert Louis
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Cincinnatti, Ohio
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Barred
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Zins converted $3,750 from the bank account of public customers by ordering checks from their account without their knowledge or consent, forged the customers' signatures on checks, deposited the checks into a bank account under his control, withdrew cash from the account and deposited the cash into his personal bank account for his personal benefit and not for the benefit of the customers. The findings stated that Zins forged the endorsement of another individual on the back of the checks and deposited them into a bank account opened in the individual's name without his knowledge or consent.
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December 2006
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Zipkin, David Phillip
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Plymouth, Minnesota
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Barred
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Zipkin failed to amend his Form U4 to disclose material information. The findings stated that Zipkin failed to appear for an NASD on-the-record interview.
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December 2006
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Ziskind, Vladimir
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Brooklyn, New York
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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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Zoval, Lori Elizabeth
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Stateline, NV
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Barred
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Pursuant to NASD Rule 9552(h)
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November 2007
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Zygala, Auric Dane
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Baltimore, MD
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Barred
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Zygala misappropriated a total of $60,000 from customers by forging their signatures on variable annuity surrender request forms that directed the funds be disbursed electronically to Zygala's personal account at his member firm without the customers' authorization to sign their names or to effect the transfers. (FINRA Case #2009016783401)
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September 2009
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Always consult an attorney and/or investment adviser when building and protecting your wealth.
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