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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**

July 1 through July 31, 2000

ENFORCEMENT ADMINISTRATIVE ACTIONS

 

 

Order No.	Name/Entity	Date	Type of Order
00-167	Joseph Raymond Huard Jr. CRD No. 1025521 273 Stanton Court Glenn Mills, PA 19342	7/3/00	Termination of Order 00-116
00-168	Mitchell Louis Goldberg CRD No. 1386682 5 Belvedere Drive Syosset, NY 11799	7/3/00	Termination of Order 00-131
00-169	Bryan Richard Clancy CRD No.2246090 590 Willis Avenue Williston Park, NY 11596	7/5/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-170	Stein Abbott & Co. Inc. Ohio License No. 211572 241 Boulevard P. O. Box 463 Hasbrouck Heights, NJ 07604	7/5/00	Cease and Desist with Consent Agreement
00-171	Moses.com Securities Inc. CRD No.21442 8000 Maryland Avenue St. Louis MO 63105	7/6/00	Suspension of Ohio Securities Dealer License No. 211358; Notice of Intent to Revoke Ohio Securities Dealer License No. 211358
00-172	Robert A. Balsamo CRD No. 2548022 46 Professional Lane Pawleys Island, SC 29585	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-173	George P. Bisnoff CRD No. 1391324 245 Great Neck Road Great Neck, NY 11021	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-174	John M. Black Jr. CRD No. 1256859 20 Exchange Place 49th Floor New York, NY 10005	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-175	Chester L. Chicosky CRD No. 1575600 30 South Pearl Street Albany, NY 12207	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-176	Mark M. Danieli CRD No. 1460602 50 Broadway 24th Floor New York, NY 10004	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-177	Steven J. DaPuzzo Jr. CRD No. 2667677 2601 East Oakland Park Blvd. Suite 300 Ft. Lauderdale, FL 33306	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-178	Damien R. Douglas CRD No. 2255355 1430 Broadway 5th Floor New York, NY 10018	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-179	Stephen C. LaBarbara CRD No. 1596237 50 Broadway 24th Floor New York, NY 10004	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-180	Craig P. McGuinn II CRD No. 1972885 1010 Franklin Avenue Suite 300 Garden City, NY 11503-1204	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-181	Facundo R. Ponce CRD No. 2253519 200 Park Avenue 25th Floor New York, NY 10166	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-182	Konstantinos D. Sonitis CRD No. 2706663 75 Maiden Lane 10th Floor New York, NY 10038	7/6/00	Suspension of Ohio Securities Salesman License; Notice of Intent to Revoke Ohio Securities Salesman License; Notice of Opportunity for Hearing
00-183	George J. Fiorini II The Fiorini Agency 250 East Fifth Street Suite 1500 Cincinnati, OH 45202	7/7/00	Cease and Desist with Consent Agreement
00-184	Stephen Ventre; and The Standard Trust 250 East Fifth Street Suite 1500 Cincinnati, OH 45202	7/7/00	Cease and Desist with Consent Agreement
00-185	Gwendolyn Dawn Biggs CRD No. 1087730 7619 Pineridge Lane Fair Oaks, CA 95628	7/11/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-186	Marc Alan Levy CRD No. 3606 South Ocean Blvd. #401 Highland Beach, FL 33487	7/11/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-187	Elizabeth Rebecca Hitchcock CRD No. 1094311 10724 Teal Wing Cove Fredericksburg, VA 22404	7/12/00	Termination of Order 00-133
00-188	Phillynn Productions; Ronald Shane Flynn 1235 South LaCienega Los Angeles, CA 90035; and Jeffre Phillips 930 5th Street Apt. 106 Santa Monica, CA 90403	7/17/00	Notice of Opportunity for Hearing
00-189	Dennis Ray Owens 26 Lisa Drive Hamilton, OH 45013	7/17/00	Notice of Opportunity for Hearing
00-190	Gregory Wendel Meyers CRD No. 2871744 7279 Willowbrook Lane Cincinnati, OH 45202	7/17/00	Termination of Order 00-104
00-191	Duane Scott McAdoo CRD No. 2696519 1 Glenwood Avenue Yonkers, NY 10701	7/17/00	Termination of Order 99-358
00-192	Donson Gene Brooks CRD No. 1742163 18515 Gibbons Drive Dallas, TX 75287	7/17/00	Termination of Order 99-255
00-193	Adam Harold Kaplan CRD No. 2436956 1571 East 98th Street Brooklyn, NY 11236	7/17/00	Termination of Order 00-164
00-194	Peter Lawrence Tranquilli CRD No. 2428341 4 Wexford Road Chatham, NJ 07928	7/17/00	Termination of Order 00-135
00-195	Edward James Gallagher Jr. CRD No. 2182408 2321 East 70th Street Brooklyn, NY 11234	7/17/00	Termination of Order 00-161
00-196	Joseph Anthony Giordano CRD No. 871601 125 Ackerman Avenue Elmwood Park, NJ 07407	7/18/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-197	Mark Allen Coates CRD No. 2488299 180 Hilton Avenue, D-9 Hempstead, NY 11550	7/18/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-198	Donald Wayne Owens CRD No. 2208113 1268 Timbercreek Drive Hamilton, OH 45013	7/18/00	Notice of Opportunity for Hearing
00-199	Kevin Lee Miller 5837 Coachmont Drive Fairfield, OH 45014	7/18/00	Notice of Opportunity for Hearing
00-200	Clifford Frederick Mastricola CRD No. 1544640 13305 Roxton Circle San Diego, CA 92130	7/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-201	John Michael Tinnelly CRD No. 2342990 4 Martine Avenue, #520 White Plains, NY 10606	7/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-202	Patrick Roger Morrison CRD No. 3159281 101 Lodge Avenue Huntington Station, NY 11746	7/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-203	William E. Thurman II 640 Bell Road Xenia, OH 45385-9738	7/19/00	Notice of Opportunity for Hearing
00-204	Kevin Smith 378 Hane Street Marion, OH 43302	7/19/00	Suspension of Ohio Securities Salesman License, CRD No. 1133992; Notice of Intent to Revoke Ohio Securities Salesman License, CRD No. 1133992; Notice of Opportunity for Hearing
00-205	Paul Morrison 8580 State Route 588 Rio Grande, OH 45674	7/19/00	Notice of Opportunity for Hearing
00-206	John F. Peters 6643 Paxton Guinea Road Loveland, OH 45140	7/19/00	Notice of Opportunity for Hearing
00-207	Brent William Brown CRD No. 2213176 1119 Mar Del Plata Street Jacksonville, FL 32256	7/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-208	Chris Michael Manettas CRD No. 2274927 232 Bay 13 Street Brooklyn, NY 11214	7/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-209	Matthew Lane Painter CRD No. 1279261 1322 Saddle Ridge Lane Worthington, OH 43085	7/21/00	Notice of Opportunity for Hearing
00-210	Michael Lane Painter CRD No. 1258461 9520 1-A Saddlebrook Lane Miamisburg, OH 44342	7/21/00	Notice of Opportunity for Hearing
00-211	Marc Alan Levy CRD No. 2369929 3606 South Ocean Blvd., #401 Highland Beach, FL 33487	7/24/00	Termination of Order 00-186
00-212	MPI Financial; Michael Patterson Inc.; and Diversified Capital Markets 1200 Old Henderson Road Columbus, OH 43220	7/24/00	Cease and Desist
00-213	Technosoft Consulting & Development Inc.; and Mark Vaiman 40 Exchange Place 19th Floor New York, NY 10005	7/26/00	Notice of Opportunity for Hearing
00-214	David Paul Ramseyer 122 West Main Street Smithville, OH 44677	7/28/00	Notice of Opportunity for Hearing

 

 

Criminal Activity

 

The criminal trial of Anthony Thomas Newman in Lake County, Ohio was continued from August 8, 2000, pending a last minute motion filed by Mr. Newman’s lawyer. A new trial date has not yet been set.

On August 2, 2000, a supplemental indictment was filed against Jeffrey Saxton in Lorain County, Ohio for violations of the Ohio Securities Act and a RICO count. The charges relate to his participation in the sale of securities of the Cyprus Fund.

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