As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Gregory Thomas Kwasnicki of Red Bank, New Jersey was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Larry Scott Kurschner of San Diego, California was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Lawrence Gary Kirshbaum of New York, New York was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Nick John Kerrigan of Austin, Texas was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Fred Henery Johnson III of Ft. Lauderdale, Florida was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
The Companies House of United Kingdom included the name Steven Paul Baber 15 Havannah Street, Sovereign Quay, Cardiff in the list of Register of Disqualified Directors effective from September 02, 2005 to September 01, 2016. Continue reading…
The Companies House of United Kingdom included the name Steven Baber of 15 Havannah Street, Sovereign Quay, Cardiff in the list of Register of Disqualified Directors effective from Macrh 17, 2006 to September 16, 2016. Continue reading…
The Companies House of United Kingdom included the name Danielle Ester Baber of 9 Elisa House, Alicia Crescent, Alexandra Gate Newport in the list of Register of Disqualified Directors effective from August 25, 2008 to August 24, 2013. Continue reading…
The Companies House of United Kingdom included the name Ashish Roy Babber of 47 Springwell Road, Heston Middlesex in the list of Register of Disqualified Directors effective from October 26, 2006 to October 25, 2013. Continue reading…
The Companies House of United Kingdom included the name Mukhtar Ali Babar of 15 Arterberry Road, London in the list of Register of Disqualified Directors effective from June 02, 2008 to June 01, 2013. Continue reading…
On May 17, 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 Belal K. Faruki (“Respondent”). In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement, which the Commission has determined to accept. Solely for the purpose of these proceedings and any other proceedings brought by or on behalf of the Commission, or to which the Commission is a party, and without admitting or denying the findings herein, except as to the Commission’s jurisdiction over him and the subject matter of these proceedings, and the findings contained in Section III.2 below, which are admitted, Respondent consents to the entry of this Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions, as set forth below. Continue reading…
On May 16, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission filed an action today against SEC recidivist Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc. and Kaleidoscope Real Estate, Inc. for their roles in a $35 million scheme to manipulate the market and to profit from the issuance and sale of certain U.S. companies’ stock through offshore boiler rooms. The scheme ran from approximately April 2007 to October 2009. According to the SEC’s complaint, the scheme worked as follows: Geranio organized eight U.S. Issuers, installed management (including Field), and entered into consulting agreements with them through his alter-ego entities The Good One and Kaleidoscope. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Douglas Edmond Inlay of Sioux City, Iowa was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Christopher Ronald Guenther of Macedonia, Ohio was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Enrico Joseph Franco of Jackson, New Jersey was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554. Continue reading…
USA: FINRA suspends Iowa individual USA: New York based agent fined by NYSID USA: NYSID revokes license of agent Australia: ASIC issues list of disqualified individuals USA: FRB files supervisory action against company USA: Enforcement action against Progress Bank of Florida and its principal USA: FINRA files disciplinary actions against individual USA: FINRA suspends New Jersey individual USA: SEC charges individuals in Ponzi scheme USA: Companies and three senior officers to pay $14 million in fines, disgorgement USA: FINRA takes actions against Seaboard Securities, Inc. and its principal USA: Florida individual suspended by FINRA United Kingdom: FSA warns investors against unauthorized firm and an individual Hong Kong: Former licensee fined by SFC About Us USA: FINRA bars New York registered principal USA: FRB files supervisory action against Illinois company USA: FRB takes supervisory action against company and its chairman India: CSE cancels Certificate of Registration of a member USA: Five individual charged with insider trading by SEC 
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