1. Copeland Wealth Management
2. A Financial Advisory Corporation
3. A Real Estate Corporation
4. Big 5 Asset Management L.L.C.
5. Koss Corporation
6. Credit Suisse Alternative Capital L.L.C.
7. Credit Suisse Asset Management L.L.C.
8. Citigroup Global Markets Inc.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Mark Alan Weber of Palm City, Florida has 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 10 business days. Without admitting or denying the findings, Weber consented to the described sanctions and to the entry of findings that he exercised discretion in customers’ accounts.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Patrick Thomas Walker of Rahway, New Jersey has 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 supervisory or principal capacity for 10 business days.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Bradley Keith Vercnocke of Las Vegas, Nevada was barred from association with any FINRA member in any capacity. The sanction was based on findings that Vercnocke willfully failed to disclose material information on his Form U4 and failed to respond to FINRA requests for information and testimony.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Ruben Velez of East Setauket, New York has submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Velez consented to the described sanction and to the entry of findings that he converted funds from two of his member firm’s customers. The findings stated that in the first instance, Velez signed the customer’s name on a withdrawal ticket in order to withdraw funds from the account.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Malleswara Rao Tuthika of Bloomingdale, Illinois was barred from association with any FINRA member in any capacity. FINRA did not seek restitution and restitution was not appropriate since Tuthika’s member firm settled with the customers. The sanction was based on findings that Tuthika effected discretionary transactions in customers’ accounts without the customers’ prior written authorization or his firm’s prior written acceptance of the accounts as discretionary.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for October 2011, Victor Topper of Dallas, Texas has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $20,000 and suspended from association with any FINRA member in any capacity for 180 days. The fine must be paid either immediately upon Topper’s 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 on October 19, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 8A of the Securities Act of 1933 and Section 203(e) and 203(k) of the Investment Advisers Act of 1940 against Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.) and Credit Suisse Asset Management, LLC and Section 8A of the Securities Act and Sections 203(f) and 203(k) of the Advisers Act against Samir H. Bhatt.
As published on October 18, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted pursuant to Section 15(b) of the Securities Exchange Act of 1934 (“Exchange Act”) against Sergey Rumyantsev. 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 consent 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.
As published on October 18, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has 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 Donald W. Klein. 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 consent 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.
As published on October 18, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has 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 John Clement. 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.
As published on October 18, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has deems it appropriate and in the public interest that public administrative proceedings be, and hereby are, instituted against Lisa C. Berry pursuant to Rule 102(e)(3)(i) of the Commission’s Rules of Practice. In anticipation of the institution of these proceedings, Respondent has submitted an Offer of Settlement which the Commission has determined to accept.
As published on October 24, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has filed a Complaint against, and proposed settlement with, Koss Corporation, located in Milwaukee, Wisconsin, and Michael J. Koss, its CEO and former CFO, based on Koss Corporation’s preparation of materially inaccurate financial statements, book and records, and lack of adequate internal controls from fiscal years 2005 through 2009. During this period, Sujata Sachdeva, Koss’s former Principal Accounting Officer, Secretary, and Vice-President of Finance, and Julie Mulvaney, Koss’s former Senior Accountant, engaged in a wide-ranging accounting fraud to cover up Sachdeva’s embezzlement of over $30 million from Koss.
As published on October 24, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has filed an amended complaint in the case of SEC v. Clayton Peterson et al. (SDNY) adding charges against hedge fund manager Drew K. Brownstein and his hedge fund Big 5 Asset Management LLC for trading on confidential information in the securities of Mariner Energy Inc. ahead of the oil and gas company’s $3.9 billion takeover by Apache Corporation in April 2010. In its initial complaint filed on Aug. 5, 2011, the SEC alleged that Mariner Energy board member H. Clayton Peterson tipped his son with confidential details about Mariner Energy’s upcoming acquisition. Drew Clayton Peterson, who was a managing director at a Denver-based investment adviser, then used the inside information to purchase Mariner Energy stock for himself and others.
As published on October 20, 2011 U.S. Securities and Exchange Commission (SEC) announced that commission has filed a complaint in United States District Court in Riverside, California against Copeland Wealth Management, A Financial Advisory Corporation, Copeland Wealth Management, A Real Estate Corporation, and Charles P. Copeland for fraud and breach of fiduciary duty. As an investment adviser registered with the Commission, CWM manages approximately $125 million in assets under management. The assets under management are primarily mutual funds and real estate funds. Copeland Realty, an unregistered investment adviser, is the general partner for 21 limited partnerships primarily invested in real estate. Charles Copeland, a certified public accountant, is the founder, co-owner and officer of both CWM and Copeland Realty.
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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