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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**

September 1 through September 30, 2000

ENFORCEMENT ADMINISTRATIVE ACTIONS

 

 

 

 

 

Order No.	Name/Entity	Date	Type of Order
00-262	Papa Holdings Inc. 21820 Burbank Blvd. Suite 205 Woodland Hills, CA 91367; and Jonathan Curtis Papa 23309 Park Columbo Calabassas, CA 91302-2811	9/1/00	Cease and Desist Order
00-264	William H. Keller 601 Rosery Road Suite 403 Largo, FL 33770; Bill Keller Ministries; B.K. Media; and Liveprayer.com 6660 46th Avenue North St. Petersburg, FL 33709	9/1/00	Notice of Opportunity for Hearing
00-265	Kid Kritter Inc. 351 North Newport Blvd. #515 Newport Beach, CA 92663-4120	9/5/00	Cease and Desist Order
00-266	Robert Scott Nathan CRD No. 2297062 240 East 39th Street Apt. 7A New York, NY 10016	9/6/00	Termination of Order 00-237
00-267	Joseph Leonard Marzocco Jr. CRD No. 3106494 111 Nassau Avenue North Babylon, NY 11704	9/6/00	Termination of Order 00-238
00-268	Larry G. Moore dba Larry G. Moore Financial Services 16725 West Park Circle Drive Chagrin Falls, OH 44023-4549	9/6/00	Notice of Intent to Deny Application for Investor Adviser License; Notice of Opportunity for Hearing
00-269	Tristar Capital Management Corp. 13605 Crestway Drive Brook Park, OH 44142	9/6/00	Notice of Intent to Deny Application for Investor Adviser License; Notice of Opportunity for Hearing
00-270	Technosoft Consulting & Development Inc. 40 Exchange Place 19th Floor New York, NY 10005	9/6/00	Cease and Desist Order
00-271	Mark Allen Coates CRD No. 2488299 180 Hilton Avenue D-9 Hempstead, NY 11550	9/6/00	Termination of Order 00-197
00-272	Medallion Advisor Services, LLC 811 Governor Ritchie Highway Suite 25 Severna Park, MD 21146	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-273	Kirkey & Co. Financial Advisors, Inc. 2109 West 5th Avenue suite C Columbus, OH 43212	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-274	Timothy Joseph Bryan dba Tim Bryan, CPA, CFP 9411 Moss Bank Court Dayton, OH 45458	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-275	Sidney Albert Foltz III dba Sidney A. Foltz III, CPA 188 Eller Drive Belleville, OH 44813	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-276	Innovative Resource Management and Research Corp. 260 Northland Blvd. Suite 125 B Cincinnati, OH 45243	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-277	Mahorney Retirement Specialists, Inc. 4790 Red Bank Road Suite 216 Cincinnati, OH 45227	9/8/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-278	Jeffrey Lynn Roberts 3513 North Drive Greenville, OH 45331	9/12/00	Notice of Opportunity for Hearing
00-279	Gibraltar Energy Company; and Richard H. Mason 200 North Washington El Dorado, AR 71730	9/12/00	Notice of Opportunity for Hearing
00-280	Eugene Kelly Adams 4433 Yackey Drive N.W. Strasburg, OH 44680	9/13/00	Notice of Opportunity for Hearing
00-281	Calhoon Financial Planning, Inc. 6797 North High Street Suite 214 Worthington, OH 43085	9/13/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-282	M & L Stratis, Inc. 3505 East Royalton Road #201 Broadview Heights, OH 44147-2998	9/13/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-283	Delk & Associates, CPA 6927 North Main Street Suite 202 Dayton, OH 45415	9/13/00	Notice of Intent to Deny Application for Investment Adviser License; Notice of Opportunity for Hearing
00-284	Richard Lincoln Parker CRD No. 1599758 417 Magnolia Avenue Melbourne, FL 32451	9/13/00	Termination of Order 00-239
00-285	Twin Power & Electric of San Francisco; Oakland LLP; William Garlow; Jeffrey Lewitt; and Roy Cooper 2875 N.E. 191st Street Suite 302 Aventura, FL 33180	9/14/00	Cease and Desist Order
00-286	Gregory Oliver CRD No. 2032856 1688 Wilderness Ridge Road Milford, OH 45150	9/15/00	Notice of Opportunity for Hearing
00-287	Bruce Earl Gerhart 1733 Spring Village Lane Mansfield, OH 44906	9/15/00	Notice of Opportunity for Hearing
00-288	George Elmer Keffer 116 West Third Street Dover, OH 44622	9/15/00	Notice of Opportunity for Hearing
00-289	Todd Michael Niedermeyer CRD No. 1732585 90 San Carlos Sausalito, CA 94108	9/18/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-290	Octave Joseph Francis III CRD No. 1590513 3501 Octavia Street New Orleans, LA 70125	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-291	Dennis William Ryan CRD No. 1390854 57-53 224th Street Bayside, NY 11364	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-292	Nicholas Michael Armellino CRD No. 3189691 250 Gorge Road Apt. 10B Cliffside Park, NJ 07010	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-293	Robert Joseph Rosato CRD No. 1723366 7 Vauxhail Court Melville, NY 11747	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-294	Gilbert Anthony Kuta CRD No. 1084075 One Hillsyde Court Cockeysville, MD 21030	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-295	Michael Anthony Pollaccia CRD No. 2231056 428 Plaza Real #322 Boca Raton, FL 33432	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-296	Robert Lee Scott 950 Biddle Road Galion, OH 44833	9/19/00	Notice of Opportunity for Hearing
00-297	Steven Ira Root 225 East Wright Street Covington, OH 45318	9/19/00	Notice of Opportunity for Hearing
00-298	Robert Mercado Jr. CRD No. 2051720 5102 Nisteria Drive Oceanside, CA 92056	9/19/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-299	Larry Alan Brooks CRD No. 31624 205 Elmhurst Sacramento, CA 95825	9/20/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-300	Scott T. Rothfuss CRD No. 1302990 4679 Snowbird Lane Hamilton, OH 45011	9/20/00	Notice of Opportunity for Hearing
00-301	Charles William Hessey Hessey Insurance & Financial 1495 East Mansfield Street Bucyrus, OH 44820	9/20/00	Notice of Opportunity for Hearing
00-302	Joseph Anthony Vargo 796 Charles Street Willowick, OH 44095	9/20/00	Notice of Opportunity for Hearing
00-303	Gary Wayne Ogle 2416 State Route 602 North Robinson, OH 44856	9/20/00	Notice of Opportunity for Hearing
00-304	TriStar Capital Management Corp. 13605 Crestway Drive Brook Park, OH 44142	9/20/00	Termination of Order 00-269
00-305	Timothy Joseph Bryan dba Tim Bryan, CPA, CFP 9411 Moss Bank Court Dayton, OH 45458	9/20/00	Termination of Order 00-274
00-306	Joseph Philip Arndts CRD No. 1037280 860 Lincolnshire Drive Troy, OH 45373	9/22/00	Notice of Opportunity for Hearing
00-307	International Currency Consultants Inc.; Robert W. Mattis; and John Blunt 4800 North Federal Highway Suite 104B Boca Raton, FL 33431	9/22/00	Notice of Opportunity for Hearing
00-308	Karl Francis Jesaitis Jr. CRD No. 2067945 375 South End Avenue Apt. 33H New York, NY 10280	9/25/00	Final Order to Deny Application for Securities Salesperson License
00-309	Brent William Brown CRD No. 2213176 1119 Mar Del Plata Street Jacksonville, FL 32256	9/25/00	Final Order to Deny Application for Securities Salesperson License
00-310	David Alan Bender CRD No. 1083236 15656 Vandorf Place Encino, CA 91436	9/25/00	Final Order to Deny Application for Securities Salesperson License
00-311	Reginald William Miller III CRD No. 1104113 17126 Catsden Road Chagrin Falls, OH 44023	9/25/00	Suspension of Ohio Securities Salesperson License; Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-312	William C. Morris CRD No. 2342039 28411 Northwestern Highway #1350 Southfield, MI 48034	9/26/00	Termination of Order 00-244
00-313	John Basil Inferrera CRD No. 2277159 611 Elmwood Terrace Rochester, NY 14620	9/26/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-314	Lee Michael Shapiro CRD No. 2114901 27 Calumet Drive Dix Hills, NY 11746	9/26/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-315	Dennis Gagliardi CRD No.1817217 4507 Aspen Drive Hamilton, OH 45011	9/26/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-316	Allan W. Talib CRD No. 2406626 625 Kenilworth Avenue Dayton, OH 45405	9/26/00	Notice of Opportunity for Hearing
00-317	Harrison Moncure Geho CRD No. 2361637 8110 Rosehill Road Richmond, VA 23229	9/26/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-318	John Glenn Bobb CRD No. 1368986 3321 Bear Pointe Circle Powell, OH 43065	9/27/00	Termination of Order 00-90A
00-319	Ira Barry Berkowitz CRD No. 1551103 216-63 68th Avenue Bayside, NY 11364	9/27/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-320	Andrew Walter Holtmeyer CRD No. 1924765 922 Avalon Court Drive Melville, NY 11747	9/27/00	Termination of Order 00-235
00-321	Richard Joseph Gambale; and Empire Properties Inc. 1116 Banner Avenue Brooklyn, NY 11235	9/27/00	Notice of Opportunity for Hearing
00-322	Konstantinos D. Sonitis CRD No. 2706663 75 Maiden Lane 10th Floor New York, NY 10038	9/27/00	Revocation of Ohio Securities Salesperson License
00-323	Stephen C. LaBarbara CRD No. 1596237 50 Broadway 24th Floor New York, NY 10004	9/27/00	Revocation of Ohio Securities Salesperson License
00-324	Mark M. Danieli CRD No. 1460602 50 Broadway 24th Floor New York, NY 10004	9/27/00	Revocation of Ohio Securities Salesperson License
00-325	Joseph Walker 64 Orchard Lane Sabina, OH 45169	9/27/00	Notice of Opportunity for Hearing
00-326	John Robert Engle CRD No. 2211405 3012 Lantz Road Beavercreek, OH 45432	9/27/00	Notice of Intent to Suspend Ohio Securities Salesperson License; Sale of unregistered securities, selling away
00-327	Philip Allen Lehman CRD No. 1345038 38 Robinwood Court Englewood, OH 45322	9/27/00	Suspension of Ohio Securities Salesperson and Investment Adviser Representative License; Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-328	Claude Edward Smith; and Spectrum Financial Services 1225 Home Road North Mansfield, OH 44906	9/28/00	Notice of Opportunity for Hearing
00-329	Jeffrey Atamanuk CRD No. 1747819 200 Rector Place #24N New York, NY 10280	9/28/00	Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing
00-330	Norman E. Facter 21515 Chagrin Blvd. Beachwood, OH 44122	9/28/00	Cease and Desist Order
00-331	James Chmielowicz CRD No. 808392 2109 Mayport Toledo, OH 43611	9/28/00	Cease and Desist Order
00-332	Kirkey & Co. Financial Advisors Inc. 2109 West 5th Avenue Suite C Columbus, OH 43212	9/28/00	Termination of Order 00-273
00-333	M & L Stratis Inc. dba The Stratis Group 3505 East Royalton Road #201 Broadview Heights, OH 44147	9/28/00	Termination of Order 00-282
00-334	Larry G. Moore dba Larry G. Moore Financial Services 16725 West Park Circle Drive Chagrin Falls, OH 44023-4549	9/28/00	Termination of Order 00-268
00-335	Ronald L. Wackler CRD No. 1560590 383 North Westin Road Troy, OH 45373	9/29/00	Notice of Opportunity for Hearing
00-336	Joseph Edward Erwin CRD No. 1418758 2561 Woodstock Road Columbus, OH 43221	9/29/00	Suspension of Ohio Securities Salesperson License; Notice of Intent to Revoke Ohio Securities Salesperson License; Notice of Opportunity for Hearing
00-337	Brian S. Wade 306 Morgan Avenue Elyria,, OH 44305; and Ambassador Group P. O. Box 35550 Cleveland, OH 44135	9/29/00	Notice of Opportunity for Hearing

 

 

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