Articles Posted in FINRA Enforcement Actions 2011

April 2011 FINRA Account Executive Enforcement Action: Robert Lee Keys (CRD #720689, Registered Principal, Portland, Oregon, formerly licensed with Private Consulting Group, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Keys consented to the described sanction and…

April 2011 FINRA Account Executive Enforcement Action: Michael William Keleher (CRD #3244480, Registered Representative, Kenilworth, New Jersey, formerly licensed with Ing Financial Partners, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Keleher consented to the described sanction…

April 2011 FINRA Associated Person Enforcement Action: Mark David Kaufman (CRD #2774897, Registered Representative, Boca Raton, Florida formerly licensed with Jesup & Lamont Securities Corp. and Aura Financial Services) submitted a Letter of Acceptance, Waiver and Consent in which he was suspended from association with any FINRA member in any capacity for six months. In…

April 2011 FINRA Account Executive Enforcement Action: Gifford Keith Jordon (CRD #2620616, Registered Representative, Springdale, Arkansas, formerly licensed with St. Bernard Financial Services, Inc.) 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, Jordon consented to…

April 2011 FINRA Account Executive Enforcement Action: Linda Louise Johnson (CRD #4287779, Registered Representative, Roscoe, Illinois, formerly licensed with Associated Investment Services, Inc.) 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 six months. The fine must be…

April 2011 FINRA Enforcement Action Against Registered Representative: Jennifer J. Guelinas (CRD #2814512, Registered Representative, Valparaiso, Indiana formerly licensed with Amerprise Financial Services) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Guelinas consented to the…

April 2011 FINRA Account Executive Enforcement Action: Earnest Flowers III (CRD #2547561, Registered Representative, Laurelton, New York, formerly licensed with Aura Financial Services, Inc.) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Flowers consented to the described sanction…

April 2011 FINRA Account Executive Enforcement Action: Charles Joseph Fiorucci (CRD #1527771, Registered Representative, Palm Coast, Florida formerly licensed with Foresters Equity Services, Inc., and Fortune Financial Services, Inc.) 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 capacity for…

April 2011 FINRA Account Executive Enforcement Action: Joey Wade Dean (CRD #3061136, Registered Representative, Hot Springs, Arkansas formerly licensed with Morgan Stanley & Co. Incorporated) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Dean willfully made material misrepresentations and omissions to customers that were either…

April 2011 FINRA Account Executive Enforcement Action: Daniel A. Contreras (CRD #4151950, Registered Principal, Ontario, California, formerly licensed with Multi-Financial Securities Corporation) 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, Contreras consented to the described…