As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Jeffrey Scott Farmer of Longwood, Florida was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Blaine Carter Davis of Draper, Utah was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
The Companies House of United Kingdom included the name Amjad Aziz of 31 William Cook Road, Ward End, Birmingham in the list of Register of Disqualified Directors effective from August 22, 2006 to August 21, 2013.
The Companies House of United Kingdom included the name Ali Aziz of 6 Ardley Close, Neasden, Middx in the list of Register of Disqualified Directors effective from April 15, 2008 to April 14, 2019.
On May 16, 2012 British Columbia Securities Commission (BCSC) published that the panel has sanctioned two men and two companies for illegally raising money from Canadian and U.S. investors. In December 2011, a commission panel found that Daniel Scammell, Casper de Beer (aka Casha de Beer), Verified Transactions Corp. (VTC) and VerifySmart Corp. (formerly known as Verified Capital Corp.) traded in securities without being registered in B.C., and distributed those securities without filing a prospectus. From September 2006 to December 2008, Scammell and VTC raised $641,309 from 49 investors in B.C., Alberta and Washington State. The panel found that these securities were distributed illegally, as the exemptions from B.C. securities laws relied upon by Scammell and VTC did not apply to any of the distributions. Additionally, neither Scammell nor VTC were registered to trade securities, and VTC has never filed a prospectus in B.C.
On May 15, 2012 Australian Securities and Investment Commission (ASIC) published that it has applied to the Federal Court in Melbourne to inquire into the conduct of Melbourne liquidator, Mr Andrew Leonard Dunner, concerning the performance of his duties as a registered and official liquidator and as a receiver or manager of a total of eleven companies to which he has been appointed. ASIC is seeking orders that Mr Dunner be prohibited from holding the office of liquidator, provisional liquidator, voluntary administrator or administrator of a deed of company arrangement for such period as the Court sees fit, or alternatively, to declare there are grounds for the cancellation of Mr Dunner’s registration as an official liquidator.
On May 16, 2012 Financial Services Authority (FSA) published that it has published a decision notice indicating that it has decided to prohibit Anthony Verrier (a senior executive at BGC) from performing any function in relation to any regulated activity in the financial services industry. The FSA believes that Verrier is not a fit and proper person due to concerns over his honesty, integrity and reputation. Verrier has referred the matter to the Upper Tribunal (the Tribunal) where he and the FSA will each present their case. The Tribunal will then determine the appropriate action for the FSA to take. The Tribunal may uphold, vary or cancel the FSA’s decision. The Tribunal’s decision will be made public on its website.
On May 16, 2012 U.S. Commodity Futures Trading Commission (CFTC) announced that it obtained two federal court consent orders of permanent injunction, one order requiring defendant Ronald E. Satterfield, of Charleston, S.C., to pay $957,146 of restitution and a $2,871,438 civil monetary penalty, and the other order requiring defendant Nicholas Bos (Bos) of Ludington, Mich., to pay $849,146 of restitution and a $2,547,438 civil monetary penalty, for operating a foreign currency Ponzi scheme. The Bos order also requires Patricia Bos, a relief defendant and Bos’ wife, to disgorge $295,000 in ill-gotten gains. The orders also impose permanent trading and registration bans against Satterfield and Bos.
On May 16, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission issued a Notice of Proposed Plan of Distribution and Opportunity for Comment on February 6, 2009, pursuant to Rule 1103 of the Commission’s Rules on Fair Fund and Disgorgement Plans, 17 C.F.R. §201.1103. The Notice advised parties they could obtain a copy of the Distribution Plan at www.sec.gov. The Notice also advised that all persons desiring to comment on the Distribution Plan could submit their comments, in writing, no later than March 9, 2009. No comments were received by the Commission in response to the Notice. On May 15, 2009, the Commission issued an Order Approving Plan of Distribution (Exchange Act Rel. No. 59930).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Scott Alan Dascani of Naples, Florida was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Alfred Guy Cali of Huntington Station, New York was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Patrick Joseph Broderick of Bloomfield Hills, Michigan was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Darrel Ray Amiot of Eden Prairie, Minnesota was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.
The Companies House of United Kingdom included the name Zaffar Azim of 11 Cowbridge Road, Kenton, Harrow, Middlesex in the list of Register of Disqualified Directors effective from November 03, 2008 to November 02, 2021.
The Companies House of United Kingdom included the name Mohammed Azim of 8 Salisbury Road, Oldham, Greater Manchester in the list of Register of Disqualified Directors effective from June 10, 2011 to June 09, 2016.
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