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USA: Individual, company ordered to pay $360,000 for commodity pool solicitation fraud

USA: Individual, company ordered to pay $360,000 for commodity pool solicitation fraud

USA: Florida resident barred by FINRA

USA: Florida resident barred by FINRA

USA: NYSID files disciplinary action against Pennsylvania agent and life broker

USA: NYSID files disciplinary action against Pennsylvania agent and life broker

USA: ASC issues notice of hearing against individual and companies

USA: ASC issues notice of hearing against individual and companies

USA: Telecommunications stock promoter indicted for wire fraud

USA: Telecommunications stock promoter indicted for wire fraud

  • USA: Individual, company ordered to pay $360,000 for commodity pool solicitation fraud

  • USA: Florida resident barred by FINRA

  • USA: NYSID files disciplinary action against Pennsylvania agent and life broker

  • USA: ASC issues notice of hearing against individual and companies

  • USA: Telecommunications stock promoter indicted for wire fraud

Disclaimer – Our posts contain the names of individuals. Many individuals share the same name and may even be in the same profession in the same country BUT are NOT the same person as the one mentioned here. Readers thus need to conduct further research with the originating source and elsewhere before making decisions based on any information found here.

USA: Disciplinary action filed against Connecticut individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Alex B. Van Beek of West Hartford, Connecticut was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ Alex B. Van Beek, barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, regulatory risk, USA ]

USA: FINRA bars Ohio individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Joseph Anthony St. Angelo of Ashtabula, Ohio was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Joseph Anthony St. Angelo, regulatory risk, USA ]

USA: Florida individual barred by FINRA

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Antonio Seminario aka Jorge AntonioSeminario of Plantation, Florida was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ Antonio Seminario, barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Jorge Antonio Seminario, regulatory risk, USA ]

USA: Disciplinary action filed against New Jersey individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Justin David Reynolds of Morristown, New Jersey was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Justin David Reynolds, regulatory risk, USA ]

USA: FINRA bars Missouri individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Patrick Joseph Rasp of Ballwin, Missouri was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Patrick Joseph Rasp, regulatory risk, USA ]

USA: Disciplinary action filed against Kentucky individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, David Craig Neison of Shelbyville, Kentucky was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, David Craig Neison, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, regulatory risk, USA ]

USA: FINRA bars Virginia individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Juan Ramos Montermoso of Arlington, Virginia was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Juan Ramos Montermoso, regulatory risk, USA ]

USA: New York individual barred by FINRA

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Vincent Phillip Montenegro of Shoreham, New York was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, regulatory risk, USA, Vincent Phillip Montenegro ]

USA: SEC issues notice of hearing against respondent

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

On January 25, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 203(f) of the Investment Advisers Act of 1940 against Alain A. Assemi. After an investigation, the Division of Enforcement alleges that: Between May 2004 and October 2005, in reliance on a claimed exemption from registration under Regulation D, Assemi, as a Seaforth Principal, and a handful of “introducers,” by means of a private placement offering memorandum and oral representations raised approximately $18 million for Seaforth Meridian from almost 70 predominantly accredited – many of them elderly – investors. Respondent Assemi was a managing member of Seaforth Meridian, Seaforth Management and Seaforth Advisors. During the time in which he engaged in the conduct underlying the complaint described below, Respondent was not a registered representative. Continue reading…

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Tagged with: [ Administrative proceedings, Alain A. Assemi, allegations, alleged, alleges, civil action, complaint, compliance risk, fails, falsely, final judgment, fraudulently, investigation, Notice of Hearing, regulatory risk, sec, U.S. Securities and Exchange Commission, USA, violations ]

USA: SEC issues order instituting administrative proceedings against individual

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

On January 25, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 203(f) of the Investment Advisers Act of 1940 against Timothy J. Clyman. After an investigation, the Division of Enforcement alleges that: Between May 2004 and October 2005, in reliance on a claimed exemption from registration under Regulation D, Clyman, as a Seaforth Principal, and a handful of “introducers,” by means of a private placement offering memorandum and oral representations raised approximately $18 million for Seaforth Meridian from almost 70 predominantly accredited – many of them elderly – investors. Respondent Clyman was a managing member of Seaforth Meridian, Seaforth Management and Seaforth Advisors. During the time in which he engaged in the conduct underlying the complaint described below, Respondent was not a registered representative. Continue reading…

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Tagged with: [ Administrative proceedings, allegations, alleged, alleges, civil action, complaint, compliance risk, fails, falsely, final judgment, fraudulently, investigation, Notice of Hearing, regulatory risk, sec, Timothy J. Clyman, U.S. Securities and Exchange Commission, USA, violations ]

USA: SEC charges company, principal in penny stock manipulation scheme

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

On January 26, 2012 U.S. Securities and Exchange Commission (SEC) announced a civil action against First Resource Group LLC and its principal David H. Stern alleging that they fraudulently touted stock in two thinly-traded microcap companies, sold each company’s stock at the same time they were touting it, and manipulated the markets in both penny stocks in violation of the antifraud provisions of the federal securities laws. According to the SEC’s complaint, at various times from December 2008 to May 2010 First Resource and Stern, and telemarketers they employed, fraudulently solicited brokers to purchase stock in TrinityCare Senior Living, Inc. and Cytta Corporation. Continue reading…

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Tagged with: [ alleges, alleging, antifraud, bar, civil action, complaint, compliance risk, David H. Stern, disgorgement, false, First Resource Group LLC, fraudulently, manipulated, penalties, penny-stocks, permanent injunctions, regulatory risk, sec, solicited, U.S. Securities and Exchange Commission, USA, violation, violations ]

USA: Court enters final judgment against promoter

Posted by nileshkokane on 27 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

On January 26, 2012 U.S. Securities and Exchange Commission (SEC) announced that the U.S. District Court for the Northern District of Ohio on January 20, 2012, entered a final judgment against Robert C. Koeller in a Commission injunctive action, United States Securities and Exchange Commission v. Integrity Financial AZ, LLC, Steven R. Long, Stanley M. Paulic, Walter W. Knitter, and Robert C. Koeller, Civil Action No. 10-CV-782 (SO) (N.D. Ohio filed Apr. 15, 2010). The Commission’s complaint alleged that Koeller promoted an unregistered offering of securities by Integrity Financial AZ, LLC in the form of promissory notes purportedly secured by real estate in Arizona. The complaint further alleged that Koeller made material verbal and written misrepresentations to investors and prospective investors such as claims that IFAZ is a “private non registered REIT,” that investors’ “Interest is FDIC insured,” and that “You earn 10% guaranteed without any risk to your principal.” Continue reading…

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Tagged with: [ alleged, civil action, complaint, compliance risk, disgorgement, final judgment, Integrity Financial AZ, LLC, misrepresentations, penalties, regulatory risk, Robert C. Koeller, sec, Stanley M. Paulic, Steven R Long, U.S. Securities and Exchange Commission, unregistered, USA, violations, Walter W. Knitter ]

USA: Disciplinary action filed against Maryland individual

Posted by nileshkokane on 25 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Michael Louis Maseritz of Annapolis, Maryland was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Michael Louis Maseritz, regulatory risk, USA ]

USA: Florida individual barred by FINRA

Posted by nileshkokane on 25 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Juan Rene Marte of Orlando, Florida was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, Juan Rene Marte, regulatory risk, USA ]

USA: FINRA bars Florida individual

Posted by nileshkokane on 25 January, 2012
This item was filled under [ Financial Regulators, USA ]
[Translate]

As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Sherise Chantal Lee of Tallahassee, Florida was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h). Continue reading…

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Tagged with: [ barred, compliance risk, disciplinary actions, failure, Financial Industry Regulatory Authority, FINRA, regulatory risk, Sherise Chantal Lee, USA ]
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