| forms |
|
| contacts |
|
| press room |
|
| search |
|
|
|
|
|
|
||||
Information for  |
Consumers | Businesses | License/Permit Holders & Applicants | Other Government Agencies |
|
|
Commerce News Release FOR IMMEDIATE RELEASE |
Contact: Bill
Teets at (614) 644-7187 |
**INFORMATION
RELEASE**
May 1 through May 31,
2001
ENFORCEMENT ADMINISTRATIVE
ACTIONS
|
Order
No. |
Name of
Entity |
Date |
Type of
Order |
|
01-134 |
American Investment Services
Inc. CRD No.
21111 600 Highpoint
Lane Suite B East Peoria, IL 61611-9329 |
5/1/01 |
Cease and Desist Order with
Consent Agreement |
|
01-135 |
Vokac Financial Management
Company 5171 Mayfield
Road Lyndhurst, OH 44124 |
5/1/01 |
Termination of Order
01-097 |
|
01-136 |
Joseph Anthony Ricci
CRD No.
1446665 396 5th
Avenue Apt.
#4A New York, NY 10018 |
5/1/01 |
Termination of Order
01-082 |
|
01-137 |
Arnold Energy Enterprises
Inc. 911 North Loop
281 Suite
211-9 Longview, TX 75604; Vic Strevel;
and Al Weiss
2800 West Oakland Park
Blve. Suite
203 Oakland Park, FL 33311 |
5/3/01 |
Cease and Desist
Order |
|
01-138 |
Stephen
Christopher North CRD No.
2089713 4650
Medina Lake Drive Medina,
MN
55340 |
5/2/01 |
Termination of Order 01-108 |
|
01-139 |
Evan
Lewis Kaye CRD No.
2459633 300 East
64th Street Apt.
#24C New York,
NY
10021 |
5/2/01 |
Termination of Order 01-109 |
|
01-140 |
Robert A. Coffey; and Viatical Consulting Associates Inc. 1639 North Bend Road Cincinnati, OH 45224 |
5/4/01 |
Cease and
Desist Order |
|
01-141 |
Phil
D’Auria; and Icon
Trading Inc. 2134 Main
Street Suite 260
Huntington Beach, CA 92648 |
5/7/01 |
Notice of
Opportunity for Hearing |
|
01-142 |
Dale
Carone; and Icon
Trading Inc. 2134 Main
Street Suite 260
Huntington Beach, CA 92648 |
5/7/01 |
Notice of
Opportunity for Hearing |
|
01-143 |
Howard
Miller; and Icon
Trading Inc. 2134 Main
Street Suite 260
Huntington Beach, CA 92648 |
5/7/01 |
Notice of
Opportunity for Hearing |
|
01-144 |
J.R.
Tulloch; and Icon
Trading Inc. 2134 Main
Street Suite 260
Huntington Beach, CA 92648 |
5/7/01 |
Notice of
Opportunity for Hearing |
|
01-145 |
Tim
Nichols; and Icon
Trading Inc. 2134 Main
Street Suite 260
Huntington Beach, CA 92648 |
5/7/01 |
Notice of
Opportunity for Hearing |
|
01-146 |
Bradford
Spencer Beidner CRD No.
1172659 254 East
68th Street Apt.
16B New York,
NY
10021 |
5/7/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-147 |
Hatem
Gamal Eid CRD No.
2226339 81
Superfine Lane Wilmington, DE 19802 |
5/7/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-148 |
Great Start Limited 199 East Alex-Bell Road #131 Dayton, OH 45459; Richard P. Dresner 1940 West Dublin-Granville Road Worthington, OH 43085; Andrew F. Davis 1970 Kresswood Circle Kettering, OH 45429; and Hubert W. Patterson 8020 Woods Lane Columbus, OH 43235 |
5/8/01 |
Cease and
Desist Order |
|
01-149 |
Clifford
Frederick Mastricola CRD No.
1544640 4667
Vireda Luz Del Sol San
Diego, CA
93130 |
5/8/01 |
Termination of Order 01-110 |
|
01-150 |
Albert
Tommie Carazolez CRD No.
2204105 1092
Pacific Hill Street Chula
Vista, CA
91911 |
5/8/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-151 |
William L. Ullom III 351 21st Street
N.W. Canton, OH 44709 |
5/9/01 |
Cease and
Desist Order with Consent Agreement |
|
01-152 |
A.C. Financial Inc. 3033 South Kettering Blvd. Suite 119 Dayton, OH 45439 |
5/9/01 |
Cease and
Desist Order with Consent Agreement |
|
01-153 |
Alexander Chase Co. 3033 South Kettering Blvd. Suite 119 Dayton, OH 45439 |
5/9/01 |
Cease and
Desist Order with Consent Agreement |
|
01-154 |
Lifetime Capital Inc. 350 Fairway Drive Suite 110 Deerfield Beach, FL 33441 |
5/9/01 |
Cease and
Desist Order with Consent Agreement |
|
01-155 |
John W. Taylor CRD No. 2767046 6009 Black Oak Drive Toledo, OH 43615 |
5/9/01 |
Cease and
Desist Order with Consent Agreement |
|
01-156 |
Spencer Roy Johnson CRD No. 2923533 1315 N.E.
157th Avenue Vancouver, WA 98664 |
5/9/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-157 |
Auto Plus
LLC 715 South
Buffalo Street P. O. Box
876 Warsaw,
IN
46581; Dixie
Grinnell; and Alan
Welton 270 Main
Street Groveport, OH 43125 |
5/10/01 |
Notice of
Opportunity for Hearing |
|
01-158 |
Kevin Smith CRD No. 1133992 378 Hane
Street Marion,
OH
43302 |
5/11/01 |
Final
Order Revoking Securities Salesperson License |
|
01-159 |
Dennis Marlow CRD No.
600767 490
Desert Holly Indian
Ridge, CA
92211 |
5/16/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-160 |
David Scott Restivo CRD No.
2806816 2 Harbor
Court Freehold,
NJ
07728 |
5/16/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-161 |
Kevin John McPhee CRD No.
2316848 65 Hidden
Ridge Drive Syosset,
NY
11791 |
5/16/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-162 |
Janet Keyes 205 Dayton Street Hamilton, OH 45011 |
5/18/01 |
Cease and
Desist Order |
|
01-163 |
Bernard J. Vitangeli CRD No.
2326832 3272
Cornwall Drive N.W. Canton,
OH
44708 |
5/21/01 |
Termination of Order 01-125 |
|
01-164 |
Jerry Lee Getter 6257 Wengerlawn Road B rookville, OH 45309 |
5/22/01 |
Cease and
Desist Order |
|
01-165 |
Ronald James Bateh CRD No.
869380 23 Putnam
Drive Atlanta,
GA
30342 |
5/22/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-166 |
Edward Galbreath Blackman IV CRD No.
1246068 9146
South Cromwell Lane Highlands
Ranch, CO
80126 |
5/22/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-167 |
Jack Ronald Wolff CRD No.
1266815 1796 Oak
Lakes Drive Sarasota,
FL
34232 |
5/23/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-168 |
Anthony Andrew Bisceglie CRD No.
2315626 290 Hagan
Place Secaucus,
NJ
07094 |
5/23/01 |
Termination of Order 01-083 |
|
01-169 |
Michelle McDonough CRD No.
736021 7 Webb
Road North
Tarrytown, NY
10591 |
5/24/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-170 |
Sun Broadcasting Systems Inc.; and John Sloan 1000 East Tahquitz Canyon Way Palm Sp[rings, CA 92262 |
5/29/01 |
Cease and
Desist Order |
|
01-171 |
Jonathon Lee Zabrocki McDonough CRD No.
1266815 1101
Hesse Farm Road Chanhassen, MN 55318 |
5/29/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-172 |
Viatical Capital Inc. 1605 Main Street Suite 1109 Sarasota, FL 34236 |
5/30/01 |
Cease and
Desist Order with Consent Agreement |
|
01-173 |
Raed Nihad Nusseibeh CRD No.
1392587 4354
Sparrow Ridge N.W. Massillon, OH 44646 |
5/30/01 |
Notice of
Intent to Deny Application for Securities Salesperson License; Notice of
Opportunity for Hearing |
|
01-174 |
Bradford Spencer Beidner CRD No.
1172659 254 East
68th Street Apt.
16B New York,
NY
10021 |
5/31/01 |
Termination of Order 01-146 |
|
01-175 |
Mark David Leavitt CRD No.
1287552 1316
North Claridge Way Carmel,
IN
46032 |
5/31/01 |
Termination of Order 01-105 |
|
01-176 |
David Michael Levy CRD No. 2255938 8 Tony Drive Kings Park, NY 11754
|
5/31/01 |
Final
Order to Deny Application for Securities Salesperson License |
Criminal Activity
Anthony
Perry, formerly a salesman with Andrew Bodnar, was
sentenced on May 15, 2001, in U.S. District Court. Perry received a
sentence of 2 years in prison, plus he must make restitution of approximately
$715,000.00 to the investors who were defrauded by Perry personally. Perry had previously
pled guilty to the charges and he was sentenced to the maximum amount of time
under the sentencing guidelines.
On May 25,
2001, Essam A.
Mikhail was indicted by a Franklin County grand jury on one count each of
acting as an unlicensed investment adviser, engaging in fraud as an investment
adviser, mishandling funds as an investment adviser, theft, forgery, and
intimidating a crime victim or witness. The charges were made after Mikhail mismanaged
and mishandled the funds of an Ohio resident.
The trial of Anthony Thomas
Newman scheduled for May 29, 2001 in Lake County, was continued by the judge
to July 24, 2001.
A third Greater Ministries’
elder, Jim List,
pled guilty to one count of mail fraud and one count of filing a false tax
return in federal court in Clarksburg, West Virginia, on April 6, 2001. Sentencing is to
occur on June 15th.
Two other elders, James R. Chambers and Andrew J. Krishak,
were sentenced in Tampa on June 6, 2001, to five years and 30 months in prison,
respectively.
Chambers and Krishak had pled guilty to one count of conspiracy to commit
mail and wire fraud in November 2000.
| |
| commerce home / forms / contacts / press room / disclaimer / privacy policy / employment / | |
|
|
|
|