As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Richard Paul Counts of Belleair, Florida has submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Patricia Elizabeth Collantes of San Francisco, California has submitted a Letter of Acceptance, Waiver and Consent in which she was fined $8,000 and suspended from association with any FINRA member in any principal capacity for four months. Without admitting or denying the findings, Collantes consented to the described sanctions and to the entry of findings that she failed to supervise an individual, who over eight years, misappropriated $749,978 from customers, falsified account records and engaged in unauthorized trades.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, David Louis Ciano of Hawthorne, New York 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 40 business days. Without admitting or denying the findings, Ciano consented to the described sanctions and to the entry of findings that he failed to supervise a registered representative who improperly used customer funds and engaged in a private securities transaction without prior written notice to the member firm.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Jesse Booker Brown of Chicago, Illinois was barred from association with any FINRA member in any capacity. The sanction was based on findings that Brown falsified documents submitted to his former member firm that made it seem that he was no longer obligated to pay his debt.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Eileen Rose Briggs and James Donald Briggs of Phoenix, Arizona has submitted a Letter of Acceptance, Waiver and Consent in which they were each suspended from association with any FINRA member in any capacity for three months. In light of the Briggs’ financial statuses, no monetary sanctions have been imposed.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Michael William Bozora of Belvedere, California has submitted a Letter of Acceptance, Waiver and Consent in which he was fined $50,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Bozora’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 in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Toni Leynett Bowen of Lubbock, Texas has submitted a Letter of Acceptance, Waiver and Consent in which she was suspended from association with any FINRA member in any capacity for 10 business days. In light of Bowen’s financial status, no monetary sanctions have been imposed. Without admitting or denying the findings, Bowen consented to the described sanction and to the entry of findings that while registered with her member firm, Bowen’s company borrowed $25,000 from an individual who was not her firm’s customer.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Phillip Peter Borup of Cameron Park, California has submitted an Offer of Settlement in which he was fined $15,000 and suspended from association with any FINRA member in any principal capacity for 18 months. The fine must be paid either immediately upon Borup’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.
On January 30, 2012 Australian Securities and Investment Commission (ASIC) published that a former director has been convicted of three counts of stealing more than $200,000, after which he used the money to pay off personal debts including his wife’s credit card. Peter Robin Hickey of Cloverdale, Western Australia, was convicted following the conclusion last week of a 5 day jury trial in the Perth District Court before Judge Michael Bowden. During the trial ASIC alleged Mr Hickey, 57, stole $230,000 between 14 April and 8 July 2005. ASIC alleged that the funds were received from investors and disposed of through Cape Bonbon Pty Ltd, a company of which Mr Hickey was a director. It was alleged Mr Hickey then used the money to pay for items including personal expenses such as mortgages and credit cards.
On January 30, 2012 Australian Securities and Investment Commission (ASIC) published that the commission has permanently banned a former South Australian company director from providing financial services after he dishonestly obtained more than $400,000 from clients over a two-year period. The action against Craig John Horsell, of Adelaide, follows an ASIC investigation into his time as an employee and a director of insurance businesses Horsell International Pty Ltd (HIPL) and PSC Horsell Insurance Brokers Pty Ltd (PHIB) between 22 January 2007 and 23 July 2010. ASIC’s investigation found that between 7 September 2007 and 4 May 2010 Mr Horsell acted dishonestly and in breach of financial services laws when he authorised the transfers of 72 insurance premium payments from clients totalling $409,635.24 into his bank account but did not purchase the insurance products as requested by the clients.
On January 30, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission deems it appropriate that cease-and-desist proceedings be, and hereby are, instituted pursuant to Section 21C of the Securities Exchange Act of 1934, against Symmetry Medical, Inc. and Fred L. Hite. In anticipation of the institution of these proceedings, each of the Respondents 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 each and over the subject matter of these proceedings, which are admitted, Respondents consent to the entry of this Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order and a Civil Penalty, as set forth below.
On January 30, 2012 U.S. Securities and Exchange Commission (SEC) announced that the U.S. District Judge Ruben Castillo entered judgments on January 25, 2012, against Arthur Lin and his wife, Relief Defendant Gloria Lin. The SEC’s complaint, filed in the U.S. District Court for the Northern District of Illinois, alleges that from at least September 2006 through at least January 2009, Defendants Marcin Malarz, Jacek Sienkiewicz, and Lin raised at least $14,380,000 from at least 43 investors through the fraudulent unregistered offer and sale of promissory notes issued by entities owned and controlled by Malarz and/or Sienkiewicz. Malarz Equity Investments, LLC was the primary entity through which the scheme was perpetrated. Gloria Lin was a member of Malarz Equity, and Lin was an officer of Malarz Equity.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Ricardo Blanco of Key Biscayne, Florida 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, Blanco consented to the described sanction and to the entry of findings that he sent documents that contained false and inflated account values to a customer and also sent the customer a false account statement, which indicated that the account’s value was approximately $3 million when, in fact, it was worth less than a dollar.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Reginald Charles Bennett of Huntington Beach, California was barred from association with any FINRA member in any capacity.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Julie Ann Bekeleski of Uniontown, Ohio has 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 seven months. The fine must be paid either immediately upon Bekeleski’s reassociation with a FINRA member firm following her suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.
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