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FOR IMMEDIATE RELEASE
December  13, 2000

Contact: Bill Teets at (614) 644-7187
or Dennis Ginty at (614) 644-9564

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**

 

November 1 through November 30, 2000

 

ENFORCEMENT ADMINISTRATIVE ACTIONS

 

 

 

 

 

 

00-391

Dennis Gagliardi

CRD No. 1817217

4507 Aspen Drive

Hamilton, OH  45011

 

11/1/00

Cease and Desist Order

00-392

Allan W. Talib

CRD No. 2406626

625 Kenilworth Avenue

Dayton, OH  45405

 

11/1/00

Cease and Desist Order

00-393

Joseph Walker

64 Orchard Lane

Sabina, OH  45169

 

11/1/00

Cease and Desist Order

00-394

Daniel David Hoar

CRD No. 716598

25 Oxford Road

Lexington, OH  44904

 

11/1/00

Notice of Intent to Revoke Ohio Securities Salesperson License and Notice of Intent to Issue Cease and Desist Order; Notice of Opportunity for Hearing

 

00-395

Peter Benedict Steege

CRD No. 160713

12322 East Bates Circle

Aurora, CO  80014

 

11/1/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-396

Cyprus Funds, Inc.

9467 Coal Bank Road

Marshallville, OH  44645

 

11/2/00

Cease and Desist Order/Consent Agreement

00-397

Quantum Securities Corporation

CRD No. 103711

1660-J NW Professional Plaza

Columbus, OH  43220

 

11/3/00

Notice of Intent to Revoke Ohio Securities Dealer License No. 211461 and Notice of Intent to Issue Cease and Desist Order; Notice of Opportunity for Hearing

 

00-398

Jeffrey D. Saxton

127 Lindsay Court

Elyria, OH  44035-0000

 

11/3/00

Cease and Desist Order

00-399

Michael Anthony Pollaccia

CRD No. 2231056

429 Plaza Real

#322

Boca Raton, FL  33432

 

11/2/00

Final Order to Deny Application for Securities Salesperson License

00-400

Dennis William Ryan

CRD No. 1390854

57-53 224th Street

Bayside, NY  11364

 

11/2/00

Termination of Order 00-291

00-401

Anthony Andrew Bisceglie

CRD No. 2315626

290 Hagan Place

Sacaucus, NJ  07094

 

11/2/00

Final Order to Deny Application for Securities Salesperson License

00-402

John R. Churman

CRD No. 1145445

7715 Raglan Drive N.E.

Warren, OH  44484

 

11/6/00

Notice of Opportunity for Hearing

00-403

Brian S. Wade

306 Morgan Avenue

Elyria, OH  44305; and

Ambassador Group

P. O. Box 35550

Cleveland, OH  44135

 

11/6/00

Cease and Desist Order

00-404

Myron Jerome Goodstein

CRD No. 225441

100 Puritan Lane

Swampscott, MA  01907

 

11/6/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-405

Tony Lee Fessler

CRD No. 2196008

955 North Harshbarger Road

Pleasant Hills, OH  45349

 

11/6/00

Suspension of Ohio Securities Salesperson License

00-406

Ronald S. Leichman

CRD No. 1293147

1160 Bessinger Road

Hamilton, OH  45011

 

11/7/00

Notice of Opportunity for Hearing

00-407

Peter Julian;

Horizon Investments Inc.;

Julian Investment Group II Inc.; and

D&J Enterprises

225 South Alllison Avenue

Xenia, OH  45385

 

11/7/00

Cease and Desist Order

00-408

Thomas Andrew Niemczyk

CRD No. 2170335

20 Styles Drive

Melville, NY  11741

 

11/7/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-409

Keith Douglas Mize

CRD No. 4081999

9946 Reagan Road

#242

San Diego, CA  92126

 

11/7/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-410

Frank Anthony Pipala

CRD No. 363929

15 Columbus Drive

Carmel, NY  10512

 

11/8/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-411

Jeffrey George Nunez

CRD No. 1580759

25 Broad Street

New York, NY  10004

 

11/8/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-412

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

 

11/8/00

Cease and Desist Order

00-413

Ira Sidney Stern

CRD No. 1227011

2401 Berwick Blvd.

Columbus, OH  43209

 

11/8/00

Suspension of Ohio Securities Salesperson License; Notice of Intent to Revoke Ohio Securities Salesperson License; Notice of Opportunity for Hearing

 

00-414

Harbay Kessef & Co.

CRD No. 35308

2401 Berwick Blvd.

Columbus, OH  43209

 

11/3/00

Suspension of Ohio Securities Dealer License; Notice of Intent to Revoke Ohio Securities Dealer License No. 200390; Notice of Opportunity for Hearing

 

00-415

James Minter Turner

CRD No. 2202240

918 Ridgelawn Avenue

Hamilton, OH  45013

 

11/8/00

Notice of Opportunity for Hearing

00-416

Joseph E. Walker

64 Orchard Avenue

Sabina, OH  45169

 

11/8/00

Notice of Opportunity for Hearing

00-417

James P. Arndts

CRD No. 1037280

45373 Lincolnshire Drive

Troy, OH  45373

 

11/8/00

Notice of Opportunity for Hearing

00-418

Paul C. Jared

CRD No. 1449602

4927 Tillinghast Court

Mason, OH  45040-4608

 

11/8/00

Notice of Opportunity for Hearing

00-419

Gary E. Friedman

CRD No. 1777181

27040 Cedar Road

Suite 111

Beachwood, OH  44122

 

11/14/00

Notice of Opportunity for Hearing

00-420

Mary A. Kirschling

195 Savage Street

Berea, OH  44017

 

11/14/00

Cease and Desist Order

00-421

George Charles Wilkinson

CRD No. 2411651

7243 Glendale Avenue

Boardman, OH  44512

 

11/14/00

Suspension of Ohio Securities Salesperson License; Notice of Intent to Revoke Ohio Securities Salesperson License; Notice of Opportunity for Hearing

 

00-422

Myron Jerome Goodstein

CRD No. 225441

100 Puritan Lane

Swampscott, MA  01907

 

11/14/00

Termination of Order 00-404

00-423

Nicholas Michael Armellino

CRD No. 3189691

250 Gorge Road

Apt. 10B

Cliffside Park, NJ  07010

 

11/15/00

Termination of Order 00-292

00-424

Ernest Julius Romer III

CRD No. 2311741

49293 Deerfield Park

Macomb Twp., MI  48044

 

11/15/00

Termination of Order 00-341

00-425

Joseph John Librandi

CRD No. 2642824

34 Scott Street

Massapequa Park, NY  11762

 

11/15/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-426

Michael John Mussay

CRD No. 2147562

1745 Fairport Drive

Grayslake, IL  60030

 

11/15/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-427

Lowell Hanan Feuer

CRD No. 3122701

301 East 79th Street

#32B

New York, NY  10021

 

11/15/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-428

Peter J. Esposito

33959 Shelly Avenue

North Ridgeville, OH  44039

 

11/17/00

Cease and Desist Order

00-429

Kevin Robert Ostrowski

4119 Cherokee Trail

Brunswick, OH  44212

 

11/17/00

Notice of Opportunity for Hearing

00-430

Gary Nelson Burg

25660 Bagley Road

Olmstead Falls, OH  44138

 

11/20/00

Cease and Desist Order

00-431

John P. Guardnieri

280 North Park Avenue

Warren, OH  44481

 

11/20/00

Cease and Desist Order

00-432

Millionairemail.com, Inc.

1608 East 23rd Street

Cleveland, OH  44114

 

11/20/00

Cease and Desist Order/Consent Agreement

00-433

Gary E. Friedman

CRD No. 1777181

27040 Cedar Road

Suite 111

Beachwood, OH  44122

 

11/21/00

Amended Notice of Opportunity for Hearing; Suspension of Ohio Investment Adviser Representative License No. OH-998; Notice of Intent to Revoke Ohio Investment Adviser Representative License No. OH-998

 

00-434

Ronald L. Wackler

CRD No. 1560590

383 North Westin Road

Troy, OH  45373

 

11/21/00

Notice of Opportunity for Hearing

00-435

Jenni Elaine Buys

CRD No. 16944

2900 First Avenue

Suite #185

Corona Del Mar, CA  92625

 

11/22/00

Notice of Opportunity for Hearing

00-436

Grant Bettingen, Inc.

CRD No. 16944

19800 MacArthur Blvd.

Suite 975

Irvine, CA 92612

 

11/22/00

Notice of Opportunity for Hearing

00-437

David L. Sherman

CRD No. 1303348

5156 State Route 47E

Ansonia, OH  45303

 

11/24/00

Notice of Opportunity for Hearing

00-438

Reed Freyermuth

CRD No. 214278

2832 Adeline Drive

Burlingame, CA  94010

 

11/27/00

Final Order to Deny Application for Securities Salesperson License

00-439

David Charles Baron Jr.

CRD No. 1501891

1290 Gulf Blvd.

#1802

Clearwater, FL  34630

 

11/27/00

Final Order to Deny Application for Securities Salesperson License

00-440

Eric Peter Weschke

CRD No. 2486324

11 Dorm Court

East Setaulret, NY  11733

 

11/27/00

Final Order to Deny Application for Securities Salesperson License

00-441

Susan Mary Waterhouse

CRD No. 1287276

3512 Post Road

Newport, MI  48166

 

11/27/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-442

Epifanio Almodovar Jr.

CRD No. 2212729

503 Nassau Avenue

Freeport, NY  11520

 

11/27/00

Notice of Intent to Deny Application for Securities Salesperson License; Notice of Opportunity for Hearing

00-443

Emanuele Anthony Scarso

CRD No. 2080536

9951 Shore Road

Brooklyn, NY  11209

 

11/27/00

Notice of Intent to Deny Application for Securi