1. Financial Services Moskop and Associates Inc.
2. Compressent Corporation
3. Compression Labs Inc.
4. Consolidated Golden Quail Resources Ltd.
5. Consolidated NRD Resources Ltd.
6. Contemporary Solutions Inc.
7. Continental Heritage Corp.
8. Corniche Corporation
9. Concept Digital Inc.
10. Wunderlich Securities Inc.
On May 27, 2011 United States Securities and Exchange Commission (SEC) published that the commission deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Sections 203(e) and 203(k) of the Investment Advisers Act of 1940 against Wunderlich Securities, Inc., and pursuant to Section 15(b) of the Exchange Act and Sections 203(f) and 203 (k) of the Advisers Act against Tracy L. Wiswall and Gary K. Wunderlich, Jr.
On May 27, 2011 United States Securities and Exchange Commission (SEC) announced that a federal grand jury returned a two-count indictment against Edward Lynn Moskop, a former registered representative and licensed insurance broker from Belleville, Illinois on May 19, 2011. Moskop, age 62, was indicted on charges of mail fraud and money laundering. The indictment alleges that Moskop, operating as Financial Services Moskop and Associates, Inc., acted as a securities broker for several customers by making investments on their behalf.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Jeremy David Hare was named as a respondent in a FINRA complaint alleging that he exercised discretion with respect to trades in a trust account without written authorization from the individual who had power of attorney over the account, or his member firm’s acceptance of the account as discretionary. The complaint alleges that Hare’s member firm prohibited discretionary trading in accounts such as this one.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Timothy D. Camarillo was named as a respondent in a FINRA complaint alleging that he entered into a contract with a company and sold approximately $370,000 worth of private securities to his customers, receiving over $13,000 in commissions without providing prior notice to, or receiving approval from, his member firm. The complaint alleges that the company provided Camarillo with sales literature and, without submitting the brochure to his firm for approval, Camarillo distributed the brochure to his customers; the brochure contained unwarranted, exaggerated and misleading statements, omitted material facts, and ignored risk while guaranteeing success.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Bryan Lee Addington was named as a respondent in a FINRA complaint alleging that a customer instructed Addington to purchase shares of a common stock in his securities account at Addington’s member firm, and Addington instructed the customer to pay for the shares with a $34,019 check payable to an entity even though the check should have been made payable to Addington’s firm’s clearing firm. The complaint alleges that the customer provided the check to Addington, but he never deposited the funds into the customer’s account, thereby misappropriating and retaining the funds.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Hedge Fund Capital Partners, LLC was expelled from FINRA membership and Howard Gordon Jahre was barred from association with any FINRA member in any capacity. The sanctions were based on findings that the firm and Jahre provided false and misleading information to FINRA, willfully filed a misleading Form U4 and employed a statutorily disqualified person.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Ronald Stephen Iacobelli submitted a Letter of Acceptance, Waiver and Consent in which he was censured and fined $10,000. Without admitting or denying the findings, Iacobelli consented to the described sanctions and to the entry of findings that he exercised discretion in a customer’s account without the customer‘s written authorization and his member firm’s written approval, by purchasing a Uniform Investment Trust (UIT) in the amount of approximately $75,000 and a Principal Protected Note (PPN) in the amount of approximately $50,000.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Michael Woyciesjes submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one year. The fine must be paid either immediately upon Woyciesjes’ reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Regina Marie Williamson submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Williamson consented to the described sanction and to the entry of findings that she misappropriated funds from customers of her member firm’s bank affiliate. The findings stated that Williamson opened an account at the bank in the name of a friend who was living in her house at that time without the individual’s knowledge or authorization.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2011, Donald Barry Weidenfeld submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. In determining sanctions, FINRA took into account the disciplinary action taken by Weidenfeld’s member firm for the same conduct.
1. PCSEdventures!.com Inc.
2. M.A.A.A. Trust
3. Columbus Networks Corporation
On May 26, 2011 United States Securities and Exchange Commission (SEC) announced that the United States District Court for the Southern District of New York on May 24, 2011, entered a Final Judgment as to the Defendant Giuseppe Tullio Abatemarco, a Swiss resident. The Commission’s previously filed amended complaint, Securities and Exchange Commission v. Giuseppe Tullio Abatemarco, Civil Action No. 10 Civ. 9527 (WHP) (S.D.N.Y. filed April 20, 2011), alleges that Abatemarco engaged in illegal insider trading in connection with his purchase of the securities of Martek Biosciences Corporation, a Delaware corporation headquartered in Columbia, Maryland.
On May 26, 2011 United States Securities and Exchange Commission (SEC) announced that the Honorable Richard W. Story, United States District Court Judge for the Northern District of Georgia on May 2, 2011, entered a Final Judgment as to Defendant Gregory A. Seib. The final judgment against Seib enjoins him from violating, directly or indirectly, Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 promulgated thereunder. In addition to the injunctive relief, the final judgment against Seib orders him to pay $71,654.14 in civil penalties and $71,654.14 in disgorgement together with prejudgment interest thereon in the amount of $13,393.88.
On April 07, 2011 Kuala Lumpur Stock Exchange (KLSE) publicly reprimands SANICHI TECHNOLOGY BERHAD for breach of Rule 9.16(1)(a) of the ACE LR. The Company is also required to carry out a limited review on its quarterly report submissions. The limited review must be performed by the Company’s external auditors for four quarterly reports commencing no later from the Company’s quarterly report for the financial period ended 31 March 2011. The quarterly report announcements must state that it has been reviewed by the Company’s external auditors.
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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