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| FOR IMMEDIATE RELEASE September 12, 2000 |
Contact: Bill
Teets at (614) 644-7187 |
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**
August 1 through August 31, 2000
ENFORCEMENT ADMINISTRATIVE ACTIONS
Order No.
Name/Entity
Date
Type of Order
00-215
American Investment Services Inc.
600 Highpoint Lane
Suite B
East Peoria, IL 61611-9329
8/1/00
Notice of Intent to Suspend Dealer License, Ohio Securities Dealer License No. 71550; Notice of Opportunity for Hearing
00-216
Florence Sarah Pollard
339 Nautilus Street
La Jolla, CA 92037
8/1/00
Final Order to Deny Application for Securities Salesperson License
00-217
Troy Joseph Flowers
1846 Denstone Place
Lemon Grove, CA 91945
8/1/00
Final Order to Deny Application for Securities Salesperson License
00-218
Gwendolyn Dawn Biggs
CRD No. 1087730
7619 Pineridge Lane
Fair Oaks, CA 95628
8/2/00
Termination of Order 00-185
00-219
Michael Pugliese
CRD No. 2400599
301 East 73rd Street
Apt. #10E
New York, NY 10021
8/2/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-220
David Alan Bender
CRD No. 1083236
15656 Vandorf Place
Encino, CA 91436
8/2/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-221
Peter Julian; Horizon Investments Inc.;
Julian Investments Group II Inc.; and
D & J Enterprises
225 South Allison Avenue
Xenia, OH 45385
8/4/00
Notice of Opportunity for Hearing
00-222
Patrick Roger Morrison
CRD No. 3159281
101 Lodge Avenue
Huntington Station, NY 11746
8/7/00
Termination of Order 00-202
00-223
Clifford Frederick Mastricola
CRD No. 1544640
13305 Roxton Circle
San Diego, CA 92130
8/7/00
Termination of Order 00-200
00-224
Chris Michael Manettas
CRD No. 2274927
232 Bay 13 Street
Brooklyn, NY 11214
8/7/00
Termination of Order 00-208
00-225
Joseph Anthony Giordano
CRD No. 871601
125 Ackerman Avenue
Elmwood Park, NJ 07407
8/7/00
Termination of Order 00-196
00-226
Moses.com Securities Inc.
CRD No.21442
8000 Maryland Avenue
St. Louis, MO 63105
8/7/00
Termination of Order 00-171
00-227
Karl Francis Jesaitis Jr.
CRD No. 2067945
375 South End Avenue
Apt. 33H
New York, NY 10004
8/8/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-228
Robert A. Balsamo
CRD No. 2548022
46 Professional Lane
Pawleys Island, SC 29585
8/9/00
Revocation of Ohio Securities Salesperson License
00-229
John M. Black Jr.
CRD No. 1256859
20 Exchange Place
49th Floor
New York, NY 10005
8/9/00
Revocation of Ohio Securities Salesperson License
00-230
Chester L. Chicosky
CRD No. 1575600
30 South Pearl Street
Albany, NY 12207
8/9/00
Revocation of Ohio Securities Salesperson License
00-231
Facundo R. Ponce
CRD No. 2253519
200 Park Avenue
25th Floor
New York, NY 10166
8/9/00
Revocation of Ohio Securities Salesperson License
00-232
Craig P. McGuinn II
CRD No. 1972885
1010 Franklin Avenue
Suite 300
Garden City, NY 11503-1204
8/9/00
Revocation of Ohio Securities Salesperson License
00-233
Mark E. Szczepinski
1603 Denley Avenue
Cleveland, OH 44109
8/9/00
Notice of Opportunity for Hearing
00-234
Michael Patterson
1200 Old Henderson Road
Columbus, OH 43220
8/11/00
Cease and Desist Order
00-235
Andrew Walter Holtmeyer
CRD No. 1924765
922 Avalon Court Drive
Melville, NY 11747
8/14/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-236
Patrick Joseph Leahy
CRD No. 1753601
237 Giffords Lane
Staten Island, NYU 10306
8/14/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-237
Robert Scott Nathan
CRD No. 2297062
240 East 39th Street
Apt. 7A
New York, NY 10016
8/15/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-238
Joseph Leonard Marzocco Jr.
CRD No. 3106494
111 Nassau Avenue
North Babylon, NY 11704
8/15/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-239
Richard Lincoln Parker II
CRD No. 1599758
417 Magnolia Avenue
Melbourne, FL 32451
8/15/00
Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-240
John Michael Tinnelly
CRD No.2342990
4 Martine Avenue #520
White Plains, NY 10606
8/15/00
Termination of Order 00-201
00-241
Atlantic Advisors Inc.
Ohio Investment Adviser License No. 4829;
Craig Allen Herl
Ohio Investment Adviser Representative License No. 5950
4517 Rangeline Road
West Milton, OH 45383; and
Mark William May
Ohio Investment Adviser Representative License No. 6458
380 Fairground Road
Xenia, OH 45385
8/16/00
Suspension of Ohio License Numbers 4829, 5950 and 6458; Notice of Intent to Revoke Ohio License Numbers 4859, 5950 and 6458
00-242
David M. Cody
8162 Windsor Drive
#1307
North Royalton, OH 44133
8/16/00
Notice of Opportunity for Hearing
00-243
Phillynn Productions
1235 South LaCienega
Los Angeles, CA 90035; and
Jeffre Phillips
930 5th Street
Apt. 106
Santa Monica. CA 90403
8/18/00
Cease and Desist Order
00-244
William C. Morris
CRD No. 2342039
28411 Northwestern Highway
#1350
Southfield, MI 48034
8/18/00
Notice of Opportunity for Hearing
00-245
Jarrel Daniel O’Dell
CRD No. 351005
11 Marbella
Dana Pointe, CA 92629
8/22/00
Cease and Desist Order
00-246
Terrence A. Bentivegna
2121 39th Street NW
Canton, OH 44709-2330
8/24/00
Notice of Opportunity for Hearing
00-247
American Benefits Services Inc.;
Asset Base Management
4889 Lake Worth Road
Lake Worth, FL 33463; and
William Ramsey
25400 U.S. 19 North
Suite 155
Clearwater, FL 33763
8/24/00
Cease and Desist Order
00-248
Mary A. Kirschling
195 Savage Street
Berea, OH 44017
8/25/00
Notice of Opportunity for Hearing
00-249
Michael Pugliese
CRD No. 2400599
3031 East 73rd Street
Apt. #10E
New York, NY 10021
8/25/00
Termination of Order 00-219
00-250
Patrick Joseph Leahy
CRD No. 1753601
237 Giffords Lane
Staten Island, NY 10306
8/25/00
Termination of Order 00-236
00-251
Norman E. Facter
21515 Chagrin Blvd.
Beachwood, OH 44122
8/28/00
Notice of Opportunity for Hearing
00-252
Jeffrey D. Saxton
127 Lindsay Court
Elyria, OH 44035-0000
8/30/00
Notice of Opportunity for Hearing
00-253
John Coatney
555 Hayden Avenue
Dayton, OH 45431-1942
8/31/00
Cease and Desist Order
00-254
Dennis Owens
CRD No. 1736471
26 Lisa Drive
Hamilton, OH 45013
8/31/00
Cease and Desist Order
00-255
Peggy Hilty-Kauffman
9055 Adams Road
Dayton, OH 45424
8/31/00
Cease and Desist Order
00-256
Frank P. Dibella
CRD No. 2078122
8185 Winding Trail Place
Mason, OH 45040-9307
8/31/00
Cease and Desist Order
00-257
Paul Morrison
8580 State Route 588
Rio Grande, OH 45674
8/31/00
Cease and Desist Order
00-258
Floyd Schierholt
2157 Gardner Road
Hamilton, OH 45013
8/31/00
Cease and Desist Order
00-259
Glen McClure
9439 Veasby Wisener Road
Convoy, OH 45832-9616
8/31/00
Cease and Desist Order
00-260
Matthew L. Painter
CRD No. 1279261
1322 Saddle Riadge Lane
Worthington, OH 43085
8/31/00
Cease and Desist Order
00-261
Everett Hocker
537 East Main Street
Greenville, OH 45331
8/31/00
Cease and Desist Order
00-263
William E. Thurman II
640 Bell Road
Xenia, OH 45385-9738
8/31/00
Cease and Desist Order
Criminal Activity
On August 30, 2000, Delmar Gerald Lach was indicted by a Clermont County Grand Jury on 55 felony counts, including 53 counts of violating the Ohio Securities Act, one count of violating the Pyramid Sales Act, and one count of violating the Ohio Corrupt Activities Act. The indictment also included a forfeiture specification.
**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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