1. Robert L Duncan
2. Paul R Beckwith
3. Beckwith CPA’S
4. Brantley Capital Management L.L.C.
5. Robert Pinkas
6. Tab Keplinger
7. Richard Dean Carter
8. Thomas Michael Rittweger
9. Igor Poteroba
On 28 September 2010, the Securities and Futures Commission (SFC) has banned Mr David Tsien Pak Cheong, a former equity salesman of JP Morgan Securities (Asia Pacific) Ltd (JP Morgan), from re-entering the industry for 10 years from 22 September 2010 to 21 September 2020.
The U.S. Commodity Futures Trading Commission (CFTC) on September 28, 2010 announced that it obtained an emergency federal court order freezing the assets of defendants People’s Alternative, Inc. of Los Angeles, Calif. and its principals, Jaime Gallardo of Pasadena, Calif., and Karl Ochoa and Maria Iracheta, both of Los Angeles. The court’s order also prohibits the destruction of books and records and grants the CFTC immediate access to such documents.
On September 28, 2010, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act, Making Findings, and Imposing Remedial Sanctions (Order) against Igor Poteroba, a former investment banker in UBS Securities LLC’s Global Healthcare Group in New York City.
On September 28, 2010, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Notice of Hearing (Order) against Thomas Michael Rittweger.
The United States Securities and Exchange Commission announced that on September 24, 2010 it filed a civil injunctive action against Richard Dean Carter. The Commission’s complaint alleges that Carter perpetrated a microcap fraud on the market by providing information that appeared in two false press releases issued by High Velocity Alternative Energy Corporation in 2008.
On September 28, 2010, the Honorable James S. Gwin, United States District Judge for the Northern District of Ohio, entered final judgments against defendants Robert Pinkas and his firm, Brantley Capital Management, LLC (BCM). Pinkas and BCM served as the investment advisers to Brantley Capital Corporation, a New York-based investment company, and Pinkas served as the CEO of both BCM and Brantley Capital.
On September 28, 2010, the Securities and Exchange Commission obtained an Ex Parte Asset Freeze Order against Paul R. Beckwith, CPA (Beckwith) and Paul R. Beckwith dba Beckwith CPA’S. The Order was entered September 27, 2010, by the Honorable Dale A. Kimball, United States District Judge for the District of Utah.
On September 28, 2010, the Securities and Exchange Commission filed a civil injunctive action in Atlanta, Georgia on September 23, 2010, charging Robert L. Duncan, the portfolio manager of the Seaside Partners Fund, LP (“Fund”) with violating the antifraud provisions of the federal securities laws in connection his activities related to the Fund.
On September 14, 2010, the New York State Insurance Department published that a woman involved in an auto accident in Rensselaer County in which she suffered serious injuries, including a broken ankle, a fractured rib and a collapsed lung, still managed to walk a mile to a friend’s house after the crash. She now, however, faces up to 15 years in prison after being accused of lying in an effort to get insurance coverage for her injuries. State police arrested Heidi Laviolette, 42, of Orr Street, Troy, on Wednesday for insurance fraud.
On September 13, 2010, the New York State Insurance Department published that an Ulster County woman whose Face book posting led to her arrest and conviction for stealing $8,975 in workers’ compensation benefits was sentenced Thursday to three years probation and ordered to make restitution. Alexis Muniz, 28, of Accord, was sentenced in Sullivan County Court after pleading guilty to accepting workers’ compensation while employed full-time at an apartment complex. She was sentenced on felony charges of grand larceny and workers’ compensation fraud.
On September 23, 2010, the New York State Insurance Department published that a Queens accountant who stole $115,000 by filing 695 phony health insurance claims was arrested Tuesday. Diana Rabin, 29, of 73rd Road, was arrested after filing the bogus claims with Aetna and UnitedHealthcare Oxford over a six-month period ending in May.
1. Mark Johnson
2. Mark Manoff
3. Leonard Gotshalk
4. Kyle Gotshalk
5. Exit Only Inc.
6. CX2 Technologies Inc.
7. Mark E Salyer
8. Salmar Investors Group L.L.C.
9. Horizon Holdings Inc.
10. Michael Jobe
11. Richard Vlasich
12. Brian Hollnagel
13. BCI Aircraft Leasing Inc.
14. Martin Collier
15. Robert Carlsson
16. Jason Hyatt
17. Papayanis
18. Hatamyar
19. Meyer
20. Richard A Hansen
21. Stuart Kobrovsky
22. Donna Murdoch
23. James E Gansman
24. Southeast Banking Corp.
25. Timothy M Gautney
26. Robert A Bellia
27. Erik S Blum
On 27th September 2010, the Financial Services Authority (FSA) of 25 The North Colonnade, Canary Wharf, London E14 5HS (“the FSA”) gives final notice to Fabio Massimo De Biase.
On 27th September 2010, the Financial Services Authority (FSA) has taken action against an individual and a mortgage broker for failings including not being open and co-operative in their dealings with the FSA. David Roberts, sole director of A-Z Mortgages Limited, has been fined £14,000 and Hygeia Mortgages and Finance Limited has had its permission to undertake regulated activities cancelled.
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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