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SUMMARY OF RECENT ENFORCEMENT ACTIONS TAKEN

BY THE OHIO DEPARTMENT OF COMMERCE’S DIVISION OF SECURITIES

 

At the request of media representatives, the Ohio Department of Commerce’s Division of Securities releases a summary list of Division Orders and enforcement actions recently brought by the Division’s Enforcement Section.

Before reporting information based on this INFORMATION RELEASE, the Department suggests that reporters request additional detail as to the nature of the Division Order or enforcement action.

# # #

For more information, please contact Dennis Ginty at (614) 644-9564 or Bill Teets at (614) 644-7187.

**INFORMATION RELEASE**

JUNE 1 through JUNE 30, 2000

ENFORCEMENT ADMINISTRATIVE ACTIONS

 

 

Order No.	Name/Entity	Date		Type of Order
00-090 Amended	John Glenn Bobb CRD No. 1368986 3321 Bear Pointe Circle Powell, OH 43065	6/22/00		Amended Order; Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-127	James Chmielowicz CRD No. 808392 2109 Mayport Toledo, OH 43511	6/1/00		Notice of Opportunity for Hearing
00-128	Reed Freyermuth CRD No. 214278 2832 Adeline Drive Burlingame, CA 94010	6/6/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-129	Anthony Andrew Bisceglie CRD No. 2315626 290 Hagan Place Secaucus, NJ 07094	6/7/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-130	Eric Peter Weschke CRD No. 2486324 11 Dorm Court East Setaulret, NY 11733	6/7/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-131	Mitchell Louis Goldberg CRD No. 1386682 5 Belvedere Drive Syosset, NY 11799	6/7/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-132	Robert Brent Cohen CRD No. 1068722 11 Megan Court Alamo, CA 94507	6/7/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-133	Elizabeth Rebecca Hitchcock CRD No. 1094311 10724 Teal Wing Cove Fredericksburg, VA 22404	6/7/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-134	Frank P. DiBella CRD No. 2078122 8185 Winding Trail Place Mason, OH 45040-9307	6/8/00		Notice of Opportunity for Hearing
00-135	Peter Lawrence Tranquilli CRD No. 2428341 4 Wexford Road Chatham, NJ 07928	6/8/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-136	Douglas Wayne Magnuson CRD No. 2592996 78 Malone Avenue Long Beach, NY 11561	6/8/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-137	Stephen Mark Kiront CRD No. 2009609 14 Cedarwood Lane Commack, NY 11725	6/8/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-138	Wolverine Energy LLC; and Wolverine Energy 1998-1999 Development Program 4660 South Hagadorn Road Suite 230 East Lansing, MI 48823	6/8/00		Cease and Desist
00-139	Stein Abbott & Co., Inc. Ohio License No. 211572 241 Boulevard P. O. Box 463 Hasbrouck Heights, NJ 07604	6/8/00		Notice of Opportunity for Hearing
00-140	Glen McClure 9439 Veasby Wisener Road Convoy, OH 45832-9616	6/9/00		Notice of Opportunity for Hearing
00-141	John Coatney 555 Hayden Avenue Dayton, OH 45431-1942	6/9/00		Notice of Opportunity for Hearing
00-142	John White III 670 Hampton Woods Drive Marion, OH 43302	6/9/00		Suspension of Ohio Securities Salesman License No. 2779627; Notice of Intent to Revoke Ohio Securities Salesman License No. 2779627; Notice of Opportunity for Hearing
00-143	Robo Enterprises, Inc.; Robo-Richland County Reef LLP; and and Robo-Ohio River Directional Drilling LLP 942 Searcy Way Bowling Green, KY 42103	6/12/00		Termination of Order 99-460
00-144	Don Federico Mersiel CRD No. 1290222 8528 Green Street B25-03 Wheelersburg, OH 45694	6/12/00		Cease and Desist
00-145	Donald Erwin Jones CRD No. 870822 7896 Hosbrook Road #30 Cincinnati, OH 45243	6/12/00		Cease and Desist
00-146	The House of Securities Company BD/CRD No. 2236 12 West Church Street Frederick, MD 21701	6/13/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-147	MPI Financial; Michael Patterson Inc.; Diversified Capital Markets; and Michael Patterson 1200 Old Henderson Road Columbus, OH 43220	6/15/00	Notice of Opportunity for Hearing
00-148	Raymond Beals 39 Jessica Lane Staten Island, NY 10309	6/20/00		Cease and Desist
00-149	Michael Brugnolotti 35 Seabreeze Lane Staten Island, NY 10307	6/20/00		Cease and Desist
00-150	Jarrell Daniel O’Dell CRD No. 351005 21 Marseille Laguna Niguel, CA 92677	6/21/00		Notice of Opportunity for Hearing
00-151	Brookstreet Securities Corporation CRD No. 14667 2361 Campus Drive #210 Irvine, CA 92612-1464	6/22/00		Notice of Intent to Suspend Dealer License, Ohio Securities Dealer License No. 133692; Notice of Opportunity for Hearing
00-152	Stephen Mark Kiront CRD No. 2009609 14 Cedarwood Lane Commack, NY 11725	6/26/00		Termination of Order 00-137
00-153	Grandeur Golf Ltd., LLC; and Robert K. Stainbrook 2 North Cascade Avenue Suite 1100 Colorado Springs, CO 80903	6/27/00		Final Order to Cease and Desist
00-154	Coleman James Flaherty III CRD No. 1998045 124 Remsen Street Brooklyn, NY 11201	6/28/00		Termination of Order 00-122
00-155	Douglas Wayne Magnuson CRD No. 2592996 78 Malone Avenue Long Beach, NY 11561	6/28/00		Termination of Order 00-136
00-156	The House of Securities Company BD/CRD Number 2236 12 West Church Street Frederick, MD 21701	6/28/00		Termination of Order 00-146
00-157	Robert Brent Cohen CRD No. 1068722 111 Megan Court Alamo, CA 94507	6/28/00		Termination of Order 00-132
00-158	Paragon Capital Group Inc. 5151 Glades Road Boca Raton, FL 33487	6/30/00		Notice of Opportunity for Hearing
00-159	The Reliance Program Inc.; and Donald I. Goldstein 3475 Lenox Road N.E. Suite 400 Atlanta, GA 30326	6/30/00		Notice of Opportunity for Hearing
00-160	Peggy Hilty-Kauffman 5321 Tonawanda Creek Road North North Tonawanda, NY 14120	6/30/00		Notice of Opportunity for Hearing
00-161	Edward James Gallagher Jr. CRD No. 2182408 2321 East 70th Street Brooklyn, NY 11234	6/30/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-162	Troy Joseph Flowers CRD No. 2580057 1846 Denstone Place Lemon Grove, CA 91945	6/30/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-163	Florence Sarah Pollard CRD No. 2208895 339 Nautilus Street LaJolla, CA 92037	6/30/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-164	Adam Harold Kaplan CRD No. 2436956 1571 East 98th Street Brooklyn, NY 11236	6/30/00		Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-165	Floyd Schierholt 2157 Gardner Road Hamilton, OH 45013	6/30/00		Notice of Opportunity for Hearing
00-166	Everett Hocker 537 East Main Street Greenville, OH 45331	6/30/00		Notice of Opportunity for Hearing

 

 

 

Criminal Activity

Stephen F. Hickey was indicted by a grand jury in Franklin County in October 1999 on theft and securities fraud counts in connection with the sale of two promissory notes totaling $35,000. Following the indictment, a warrant was issued for his arrest. Hickey was picked up this month on the outstanding warrant. Hickey’s scheme was run through a company he owned called Monticello Ventures.

 

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