As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Mark Wesley Stephens of San Antonio, Texas was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Wade Alan Powell of Mason, Texas was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Robert Douglas Miller Jr. of Lake St. Louis, Missouri was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, James Howard Miller of Delray Beach, Florida was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Jason Spencer May of North Palm Beach, Florida was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
On November 09, 2011 U.S. Commodity Futures Trading Commission (CFTC) announced that commission has filed a civil injunctive complaint charging defendants Nicholas Trimble and his companies, Capstone FX Quantitative Analysis, Inc. and Beekeepers Fund Capital Management, LLC, all of Denver, Colo., with fraudulently soliciting at least $1.1 million from customers to trade foreign currency through pooled and managed trading accounts using a proprietary forex trading system. On the same day the complaint was filed, November 7, 2011, Judge Philip A. Brimmer of the U.S. District Court for the District of Colorado, Denver Division, entered a restraining order freezing Trimble’s, Capstone’s, and Beekeepers’ assets, prohibiting the destruction of books and records, and granting the CFTC immediate access to such documents.
On November 17, 2011 the Australian Securities and Investment Commission (ASIC) announced that a Melbourne director has been disqualified from managing corporations for five years following ASIC’s inquiries into his role in five failed companies that had deficiencies of over $26 million. Mr Frank Cardamone, of Prahran, was a director of failed companies S.T.A Corporation Pty Limited, Stafford Services Pty Ltd, Burns International Security Services Pty Ltd, Greight Pty Ltd and Good 2 Go Admin Pty Ltd.
On November 18, 2011 the Australian Securities and Investment Commission (ASIC) announced that a Gold Coast-based company director who defrauded investors in a property unit trust of $2 million has been sentenced to seven-and-a-half years in jail following an ASIC investigation. Following a four-week trial, Robert Norman Dale, 54, was found guilty by a Southport District Court jury of six charges of dishonestly gaining a benefit under section 408C(1)(d) of the Criminal Code (Qld) and one charge of dishonestly applying property belonging to another under section 408C(1)(a) of the Criminal Code (Qld). He will serve a minimum of three years and two months, being eligible for parole on 15 January 2015.
On November 22, 2011 the Australian Securities and Investment Commission (ASIC) announced that the commission has permanently banned Mr George Stephen Hawa from providing financial services after he was convicted of serious fraud. Under the Corporations Act 2001 ASIC may ban a person who has been convicted of fraud. On 4 April 2011, Mr Hawa was convicted of four counts of obtaining money by deception and one count of dishonesty obtaining financial advantage by deception, among other matters. As a consequence, Mr Hawa was sentenced to terms of imprisonment of five months, eight months, one year, two years and eight months, respectively.
On November 24, 2011 the Australian Securities and Investment Commission (ASIC) announced that Mr Steven Avgouladakis has been sentenced to five years and eight months imprisonment on 18 charges brought by ASIC. He will serve a non-parole period of three years and eight months. Mr Avgouladakis, 42, appeared yesterday in the Melbourne County Court after pleading guilty on 9 August 2011 to charges of obtaining a financial advantage by deception totalling $1,603,500.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Christopher Kuhlhoff of Thousand Oaks, California was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Lauren Catherine Hood of Gibson City, Illinois was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Richard Charles Fredericks of Syosset, New York was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Ronald Edward Davis of Scottsdale, Arizona was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for November 2011, Shad Nhebi Clayton of Des Moines, Iowa was barred for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h).
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