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	<title>Regulatory Compliance Blog</title>
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	<link>http://regulatorycomplianceblog.com</link>
	<description>News and views on companies and individuals failing regulatory compliance rules around the world</description>
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		<title>USA: FINRA suspends New Jersey individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-new-jersey-individual-4/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-new-jersey-individual-4/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Gregory Thomas Kwasnicki]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15190</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Gregory Thomas Kwasnicki of Red Bank, New Jersey was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-new-jersey-individual-4/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: California individual suspended by FINRA</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-california-individual-suspended-by-finra-5/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-california-individual-suspended-by-finra-5/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Larry Scott Kurschner]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15189</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Larry Scott Kurschner of San Diego, California was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-california-individual-suspended-by-finra-5/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Disciplinary action filed against New York individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-disciplinary-action-filed-against-new-york-individual-22/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-disciplinary-action-filed-against-new-york-individual-22/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Lawrence Gary Kirshbaum]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15188</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Lawrence Gary Kirshbaum of New York, New York was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-disciplinary-action-filed-against-new-york-individual-22/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: FINRA suspends Texas individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-texas-individual-5/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-texas-individual-5/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Nick John Kerrigan]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15187</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Nick John Kerrigan of Austin, Texas was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-finra-suspends-texas-individual-5/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Florida individual suspended by FINRA</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-florida-individual-suspended-by-finra-9/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-florida-individual-suspended-by-finra-9/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Fred Henery Johnson III]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15186</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Fred Henery Johnson III of Ft. Lauderdale, Florida was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-florida-individual-suspended-by-finra-9/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House issues list of disqualified directors</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-108/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-108/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Steven Paul Baber]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15185</guid>
		<description><![CDATA[The Companies House of United Kingdom included the name Steven Paul Baber 15 Havannah Street, Sovereign Quay, Cardiff in the list of Register of Disqualified Directors effective from September 02, 2005 to September 01, 2016.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-108/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House disqualifies Cardiff resident</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-cardiff-resident/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-cardiff-resident/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Steven Baber]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15184</guid>
		<description><![CDATA[The Companies House of United Kingdom included the name Steven Baber of 15 Havannah Street, Sovereign Quay, Cardiff in the list of Register of Disqualified Directors effective from Macrh 17, 2006 to September 16, 2016.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-cardiff-resident/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House issues list of disqualified directors</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-107/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-107/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[Danielle Ester Baber]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15183</guid>
		<description><![CDATA[The Companies House of United Kingdom included the name Danielle Ester Baber of 9 Elisa House, Alicia Crescent, Alexandra Gate Newport in the list of Register of Disqualified Directors effective from August 25, 2008 to August 24, 2013.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-107/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House disqualifies Middlesex resident</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-middlesex-resident-9/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-middlesex-resident-9/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[Ashish Roy Babber]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15182</guid>
		<description><![CDATA[The Companies House of United Kingdom included the name Ashish Roy Babber of 47 Springwell Road, Heston Middlesex in the list of Register of Disqualified Directors effective from October 26, 2006 to October 25, 2013.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-disqualifies-middlesex-resident-9/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House issues list of disqualified directors</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-106/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-106/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[Mukhtar Ali Babar]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15181</guid>
		<description><![CDATA[The Companies House of United Kingdom included the name Mukhtar Ali Babar of 15 Arterberry Road, London in the list of Register of Disqualified Directors effective from June 02, 2008 to June 01, 2013.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/united-kingdom-companies-house-issues-list-of-disqualified-directors-106/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Order instituting administrative proceedings issued against Illinois resident</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-order-instituting-administrative-proceedings-issued-against-illinois-resident-2/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-order-instituting-administrative-proceedings-issued-against-illinois-resident-2/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[Administrative proceedings]]></category>
		<category><![CDATA[alleges]]></category>
		<category><![CDATA[barred]]></category>
		<category><![CDATA[Belal K. Faruki]]></category>
		<category><![CDATA[civil action]]></category>
		<category><![CDATA[complaint]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[defrauded]]></category>
		<category><![CDATA[disgorgement]]></category>
		<category><![CDATA[jurisdiction]]></category>
		<category><![CDATA[misrepresentations]]></category>
		<category><![CDATA[Offer of Settlement]]></category>
		<category><![CDATA[permanent injunction]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[restitution]]></category>
		<category><![CDATA[Sanctions]]></category>
		<category><![CDATA[sec]]></category>
		<category><![CDATA[solicited]]></category>
		<category><![CDATA[U.S. Securities and Exchange Commission]]></category>
		<category><![CDATA[violations]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15180</guid>
		<description><![CDATA[On May 17, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission 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 Belal K. Faruki (&#8220;Respondent&#8221;). 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&#8217;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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-order-instituting-administrative-proceedings-issued-against-illinois-resident-2/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Perpetrators charged in $35 million international boiler room scheme</title>
		<link>http://regulatorycomplianceblog.com/2012/05/18/usa-perpetrators-charged-in-35-million-international-boiler-room-scheme/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/18/usa-perpetrators-charged-in-35-million-international-boiler-room-scheme/#comments</comments>
		<pubDate>Thu, 17 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[allegedly]]></category>
		<category><![CDATA[alleges]]></category>
		<category><![CDATA[antifraud]]></category>
		<category><![CDATA[bars]]></category>
		<category><![CDATA[civil action]]></category>
		<category><![CDATA[complaint]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disgorgement]]></category>
		<category><![CDATA[enforcement action]]></category>
		<category><![CDATA[false]]></category>
		<category><![CDATA[fraudulent]]></category>
		<category><![CDATA[Inc.]]></category>
		<category><![CDATA[Kaleidoscope Real Estate]]></category>
		<category><![CDATA[Keith Michael Field]]></category>
		<category><![CDATA[manipulate]]></category>
		<category><![CDATA[manipulative]]></category>
		<category><![CDATA[misleading]]></category>
		<category><![CDATA[Nicholas Louis Geranio]]></category>
		<category><![CDATA[penalties]]></category>
		<category><![CDATA[penny-stock]]></category>
		<category><![CDATA[permanent injunctions]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[sec]]></category>
		<category><![CDATA[solicitation]]></category>
		<category><![CDATA[The Good One]]></category>
		<category><![CDATA[U.S. Securities and Exchange Commission]]></category>
		<category><![CDATA[unregistered]]></category>
		<category><![CDATA[violated]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15179</guid>
		<description><![CDATA[On May 16, 2012 U.S. Securities and Exchange Commission (SEC) announced that the commission filed an action today against SEC recidivist Nicholas Louis Geranio, Keith Michael Field, The Good One, Inc. and Kaleidoscope Real Estate, Inc. for their roles in a $35 million scheme to manipulate the market and to profit from the issuance and sale of certain U.S. companies&#8217; stock through offshore boiler rooms. The scheme ran from approximately April 2007 to October 2009. According to the SEC&#8217;s complaint, the scheme worked as follows:  Geranio organized eight U.S. Issuers, installed management (including Field), and entered into consulting agreements with them through his alter-ego entities The Good One and Kaleidoscope.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/18/usa-perpetrators-charged-in-35-million-international-boiler-room-scheme/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: FINRA suspends Iowa individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-iowa-individual-2/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-iowa-individual-2/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[Douglas Edmond Inlay]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15165</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Douglas Edmond Inlay of Sioux City, Iowa was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-iowa-individual-2/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Ohio individual suspended by FINRA</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/usa-ohio-individual-suspended-by-finra-3/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/usa-ohio-individual-suspended-by-finra-3/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[Christopher Ronald Guenther]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15164</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Christopher Ronald Guenther of Macedonia, Ohio was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/usa-ohio-individual-suspended-by-finra-3/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Disciplinary action filed against New Jersey individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/usa-disciplinary-action-filed-against-new-jersey-individual-10/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/usa-disciplinary-action-filed-against-new-jersey-individual-10/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[Enrico Joseph Franco]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15163</guid>
		<description><![CDATA[As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for May 2012, Enrico Joseph Franco of Jackson, New Jersey was suspended for failure to comply with an arbitration award or settlement agreement pursuant to FINRA rule 9554.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/usa-disciplinary-action-filed-against-new-jersey-individual-10/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: FINRA suspends Florida individual</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-florida-individual-7/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-florida-individual-7/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[Jeffrey Scott Farmer]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15162</guid>
		<description><![CDATA[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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/usa-finra-suspends-florida-individual-7/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>USA: Utah individual suspended by FINRA</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/usa-utah-individual-suspended-by-finra/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/usa-utah-individual-suspended-by-finra/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[arbitration]]></category>
		<category><![CDATA[Blaine Carter Davis]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disciplinary actions]]></category>
		<category><![CDATA[failure]]></category>
		<category><![CDATA[Financial Industry Regulatory Authority]]></category>
		<category><![CDATA[FINRA]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[Settlement Agreement]]></category>
		<category><![CDATA[suspended]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15161</guid>
		<description><![CDATA[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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/usa-utah-individual-suspended-by-finra/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House disqualifies Birmingham resident</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-disqualifies-birmingham-resident-2/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-disqualifies-birmingham-resident-2/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[AMJAD AZIZ]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15160</guid>
		<description><![CDATA[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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-disqualifies-birmingham-resident-2/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>United Kingdom: Companies House issues list of disqualified directors</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-issues-list-of-disqualified-directors-105/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-issues-list-of-disqualified-directors-105/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Europe]]></category>
		<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[ALI AZIZ]]></category>
		<category><![CDATA[Companies House of United Kingdom]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[disqualified]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[United Kingdom]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15159</guid>
		<description><![CDATA[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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/united-kingdom-companies-house-issues-list-of-disqualified-directors-105/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
		<item>
		<title>Canada: Two individuals sanctioned by BCSC</title>
		<link>http://regulatorycomplianceblog.com/2012/05/17/canada-two-individuals-sanctioned-by-bcsc/</link>
		<comments>http://regulatorycomplianceblog.com/2012/05/17/canada-two-individuals-sanctioned-by-bcsc/#comments</comments>
		<pubDate>Wed, 16 May 2012 16:00:00 +0000</pubDate>
		<dc:creator>nileshkokane</dc:creator>
				<category><![CDATA[Financial Regulators]]></category>
		<category><![CDATA[USA]]></category>
		<category><![CDATA[BCSC]]></category>
		<category><![CDATA[British Columbia Securities Commission]]></category>
		<category><![CDATA[Canada]]></category>
		<category><![CDATA[Casha de Beer]]></category>
		<category><![CDATA[Casper de Beer]]></category>
		<category><![CDATA[cease traded]]></category>
		<category><![CDATA[compliance risk]]></category>
		<category><![CDATA[Daniel Scammell]]></category>
		<category><![CDATA[disciplinary proceedings]]></category>
		<category><![CDATA[disciplined]]></category>
		<category><![CDATA[illegally]]></category>
		<category><![CDATA[misconduct]]></category>
		<category><![CDATA[penalties]]></category>
		<category><![CDATA[prohibited]]></category>
		<category><![CDATA[regulatory risk]]></category>
		<category><![CDATA[sanctioned]]></category>
		<category><![CDATA[Verified Capital Corp.]]></category>
		<category><![CDATA[Verified Transactions Corp.]]></category>
		<category><![CDATA[VerifySmart Corp.]]></category>

		<guid isPermaLink="false">http://regulatorycomplianceblog.com/?p=15158</guid>
		<description><![CDATA[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.]]></description>
		<wfw:commentRss>http://regulatorycomplianceblog.com/2012/05/17/canada-two-individuals-sanctioned-by-bcsc/feed/</wfw:commentRss>
		<slash:comments>0</slash:comments>
		</item>
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