As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Vicki Lee Perchinske of Canton, Ohio was named as a respondent in a FINRA complaint alleging that she made improper use of, and converted approximately $430,420.71 in funds from customers by causing funds to be withdrawn from their accounts held at a bank affiliated with her member firm and from customer annuities and mutual fund holdings at other financial institutions, and used the proceeds to purchase cashier’s checks, which were deposited into Perchinske’s personal bank account.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Charles Tuttle Mason of St. Pete Beach, Florida and Darren Duane Gibson of Oceanside, California were named as respondents in a FINRA complaint alleging that with knowledge or scienter of a fraudulent scheme orchestrated by principals of their member firm, and as a part of and in furtherance of the scheme to defraud investors, Mason and Gibson, while employed as the national wholesalers at their firm, substantially assisted in the achievement of the fraudulent scheme and aided and abetted fraud in connection with the purchase or sale of securities offerings. The

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Ronald John Kambic of Evergreen, Colorado was named as a respondent in a FINRA complaint alleging that he converted retirement contributions totaling approximately $9,282.40 from employees of an entity he owned.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Carolyn Avia Harmon of Lenoir, North Carolina was named as a respondent in a FINRA complaint alleging that as a branch office administrator at her member firm, she was responsible for administrative processing of account transfers, openings and closings.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Vision Securities Inc. and Daniel James Gallagher of Port Washington, New York. The firm was censured and fined $60,000. Gallagher was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Peter Martin Peterson of Tampa, Florida was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Pamela Diane Warren of Bend, Oregon submitted an Offer of Settlement in which she was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Patricia Kathleen Valentine of West Monroe, Louisiana submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for one month.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, John Edward Turrell II of Marysville, Michigan submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Daniel L. Thompson of Irving, Texas submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Terry Tin Sing Tang of Los Angeles, California submitted a Letter of Acceptance, Waiver and Consent in which he was fined $33,775.20, which includes disgorgement of a $28,775.20 commission received, and suspended from association with any FINRA member in any capacity for 10 business days.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Andrew George Spotts of Hummelstown, Pennsylvania was barred from association with any FINRA member in any capacity. The sanction was based on findings that Spotts wrongfully misappropriated approximately $197,860 from a coworker at his member firm.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Joseph Sorbara of Muttontown, New York submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Lazaro E. Salado of Miami, Florida was barred from association with any FINRA member in any capacity. The sanction was based on findings that Salado misappropriated $186,114.28 from customers by causing his member firm to issue checks drawn on customers’ bank accounts made payable to his bank loan account.

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As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for September 2011, Jerry Jason Rice of Fresno, California was barred from association with any FINRA member in any capacity. The sanction was based on findings that Rice failed to respond to FINRA requests for information and to provide testimony.

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