As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, John Michael Bayer of Wheaton, Illinois was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, Richard Scott Bradley of Canton, Ohio was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, Julio C. Ceballos of Bronx, New York was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, Christopher Collins of Southampton, New York was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, Shelley Marie Damske of Sparks, Nevada was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, Chris Tedd Enriquez of San Diego, California was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, John Millar Fife of Chicago, Illinois was suspended for failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d).
On March 16, 2012 U.S. Securities and Exchange Commission (SEC) published that the commission charged a former executive at the parent company of Carl’s Jr. and Hardee’s fast food restaurants on March 15, 2012, with insider trading in the company’s securities based on confidential information he learned on the job. The SEC alleges that Noah J. Griggs, Jr., who was executive vice president of training and leadership development at CKE Restaurants Inc., made two purchases totaling 50,000 shares of CKE stock after attending an executive meeting during which he learned that the company was in discussions with private equity investors about a possible acquisition. Griggs made a potential profit of $145,430 after the stock price soared when the merger was announced publicly. Griggs has agreed to pay $268,000 to settle the SEC’s charges without admitting or denying the allegations.
On March 16, 2012 Australian Securities and Investment Commission (ASIC) published that the Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision to ban Don Nguyen of Dulwich Hill, New South Wales from providing financial services for seven years. Mr Nguyen was employed by Commonwealth Financial Planning Limited (CFPL) as an authorised representative between 1 October 2003 and 6 July 2009. In March 2011 (refer: 11-42AD) ASIC disqualified Mr Nguyen from providing financial services after an investigation found that he failed to comply with the financial services laws by: failing to have a reasonable basis for advice, failing to provide statements of advice, failing to provide product disclosure statements, failing to provide additional information when recommending the replacement of one financial product with another; making statements that were false and misleading in a material particular, and inducing clients to deal in financial products by making statement or forecast that were misleading, false or deceptive.
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for March 2012, William Donald Miller Jr. of Witchita, Kansas 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 March 2012, Randall Lane Pope of Fort Collins, Colorado 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 March 2012, Jeffrey Rachlin of Pleasantville, 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 March 2012, Lynn Gordon Schultz of Rockville Centre, 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 March 2012, Edward Francis Scro of Conklin, 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 March 2012, Amarjeet Singh of Naperville, Illinois was suspended for failure to Comply with an Arbitration Award or Settlement Agreement Pursuant to FINRA Rule 9554.
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