Houston / Lake City / San Antonio / Moulins / Colorado Springs / Washington / Tulsa / Boston / Phoenix / Los Angeles / Chicago / Shelby Township / Jericho / Manhattan / Dallas / Mission Viejo / Philadelphia / Salt Lake City / Columbus / Imlay City / Baltimore / New York / Newport Beach / Littleton / San Diego / /
Company
First of America Securities Inc. / Oppenheimer & Co. Inc. / Morgan Stanley & Co. Incorporated / NASD Regulation / WM B Austin & Associates / Sutro & Co. Inc. / The Harriman Group Inc. / Piper Jaffray Inc. / Bear / Stearns & Co. Inc. / Kunz & Cline Investment Management Inc. / Prudential Securities Incorporated / Armacon Securities Inc. / PaineWebber Incorporated / ZI Securities Corporation / Firm And Individual Fined City Securities Corporation / PNC Capital Markets Inc. / Individual Sanctioned S.C. Costa Company / Morgan Keegan & Co. / First Union Capital Markets Corp. / Pay Arbitration Award Greenway Capital Corporation / Special Reserve Bank / Brokerage Firms And Bank Fined / Stone & Youngberg LLC / Fenner & Smith Inc. / Goldman Sachs & Co. / Smith Barney Inc. / Commerce Bank N.A. / Firm Expelled / Securities Dealers Inc. / International Cutlery Ltd. / Sims Communications Inc. / Great American Securities / Delco Securities Company / Eight / Firm Fined C.P. Baker & Company Ltd. / Maidstone Financial Inc. / HGI Inc. / Miller / Johnson & Kuehn / Inc. / Firm Expelled M.G.S.I. Securities Inc. / SFI Investments Inc. / Natural Health Trends Corp. / Merrill Lynch / SunTrust Capital Markets Inc. / Raymond James and Associates / Seattle-Northwest Securities Corp. / J.P. Morgan Securities Inc. / Agoura Hills / Warwick / Babylon Village / Old Bridge / Woodland Hills / /
insurance disbursement / bank / deceptive and fraudulent device / variable life insurance policies / bank customer / registered brokers / investment banking / variable contracts products / bank division / / advertising rule / federal securities law / insurance policy / /
Organization
Chicago District Business Conduct Committee / National Association of Securities Dealers / SEC’s office of Compliance Inspections and Examinations / G-8 / National Business Conduct Committee / NASD Advertising Department / Securities and Exchange Commission / Group of Eight / Comptroller of the Currency / Department of Justice / Municipal Securities Rulemaking Board / U.S. Court of Appeals / NASD / /
Person
Mark Arthur Hanna / Kirkland / Tazeem Hasham / Baltic / Robert Joseph Sucarato / John Gregory / Santa Barbara / Jeffrey Barnett Bronfman / John N. Salerno / James Adams / Bellerose / Gary P. Taylor / Gregory D. Dial / Waukegan / Max Curt Altolaguirre / Bruce Nairn Whitman / Fort Lee / David A. Leonard / Baton Rouge / Todd J. Loucks / Rego Park / Neville L. Sinclair / James Allen Merten / Andrew L. Solice / Stuart Litman / Elmont / Jerry A. Hurni / Jr. / Zionsville / Anthony Wayne Heuermann / Stamford / Robert W. Campbell / Michael C. Young / Spring / Mary L. Schapiro / Christos Margaritis / Peter E. Gradwohl / Old Bridge / Sheridan / David Grayland Pate / Sr. / Kevin Maurice Smith / Ezenwa Myke Ekenyere / Brooklyn / John L. Lopez / Hauppage / Kenneth Alan Rosenfield / Stephen Phillip Ross / Linwood / John F. Keenan / Robert W. Vallair / Richard L. Goodrich / Bayside / Montlake Terrance / Charles S. Beck / Frank DiGiovanni / Dean James Liakos / Peter Adam Schur / Frank Joseph Fasano / Brooks Gieche / Gerald James Stoiber / Macungie / Scott A. Richards / Eugene Gerome Johnson / II / Mark R. Fabello / Samuel Feratovic / Miguel Angel Cruz / Donald Turney / Marshall Bernstein / Frank A. McCanham / Mokena / Engelwood / Susan A. Shackleton / Oneonta / Summit / Steven C. Costa / Warwick / Jose Antonio Caballero / Brian Douglas Scanlon / Brian Prendergast / Marietta / Exeter / Nicholas A. Rudi / John Edward Flanagan / Jr. / Edward F. Escamilla / Jane E. Cipriani / Michael J. Hewitt / Jr. / Newbury / Tony Hyung Park / Peter J. Matera / Jr. / Allen Aragon / Kevin D. Kunz / Thomas W. Medici / Michael Allen Aragon / Richard B. Perry / Fruit Heights / /
Position
sales agent / representative / attorney / securities broker / independent consultant / Secretary and Chairman / Chief Executive Officer and Chairman / managing underwriter / lawyer / President / Vice President and Director / lead underwriter / Registered Representative / Regulation President / Chief Executive Officer and Chairman of the Board / /
Product
membership / /
ProvinceOrState
Indiana / Louisiana / Utah / California / Arizona / Colorado / Texas / New Jersey / Illinois / Pennsylvania / Massachusetts / New Hampshire / New York / Connecticut / Washington / Michigan / Rhode Island / Oklahoma / Georgia / Maryland / Oregon / /
DISCIPLINARY ACTIONS Disciplinary Actions Reported For January NASD Regulation, Inc. (NASD