| FOR IMMEDIATE RELEASE JANUARY 6, 1999 |
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**
November 30, 1998 to December 31, 1998
ENFORCEMENT ORDERS:
Order No. |
Name/Entity | Date |
Type of Order |
Amended 98-497 |
William Joseph Dinapoli CRD No. 2126522 332 Phyllis Drive Patchogue, NY 11332 |
12/4/98 |
Amended Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-508 |
Jacob Craig Young CRD No. 1431455 1505 Woodland Road Indiana, PA 15701 |
12/1/98 |
Termination of Division Order 98-459 |
98-509 |
Robert Edmund Navickas CRD No. 1027326 621 Locust Road Brielle, NJ 08730 |
12/1/98 |
Termination of Division Order 98-481 |
98-510 |
James Joseph Donovan, Jr. CRD No. 2443974 67-16 Cloverdale Blvd. Bayside, NY 11364 |
12/1/98 |
Termination of Division Order 98-466 |
98-511 |
Kenneth Jason Small CRD No. 1887699 795-8 Lakemont Place San Ramon, CA 94583 |
12/1/98 |
Termination of Division Order 98-485 |
98-512 |
Joseph George Thomas CRD No. 445260 16310 Los Serenos Rbl. Los Gatos, CA 95030 |
12/1/98 |
Termination of Division Order 98-467 |
98-513 |
Fred Marc Dorushkin CRD No. 2197581 2636 Frances Street Bellmore, NY 11710 |
12/1/98 |
Termination of Division Order 98-464 |
98-514 |
Todd Douglas Hallinger CRD No. 1212134 39 Kenilworth Drive East Stamford, CT 06902 |
12/1/98 |
Termination of Division Order 98-498 |
98-515 |
Kenneth Lee Lucas CRD No. 1233773 7904 South Olive Court Englewood, CO 80112 |
12/1/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-516 |
Andrew Scott Pesner CRD No. 600 Pine Hollow Road Apt. 13-7B East Norwich, NY 11732 |
12/1/98 |
Termination of Division Order 98-474 |
98-517 |
Michael John Bergin CRD No. 1393697 2 Algonquin Court Freehold, NJ 07728 |
12/1/98 |
Termination of Division Order 98-469 |
98-518 |
Currency Trading
International, Inc. CRD No. 35299 620 Newport Center Drive Suite 1000 Newport Beach, CA 92660 |
12/3/98 |
Termination of Division Order 98-356 |
98-519 |
1:30, Inc., dba Parma
Pierogies 7707 West Ridgewood Drive Parma, OH 44129; and Mary L. Poldruhi 6112 Creek Haven Parma Heights, OH 44130 |
12/4/98 |
Notice of Opportunity for Hearing |
98-520 |
David John Bernstein CRD No. 1061905 26 East Scott Street Chicago, IL 60610 |
12/8/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-521 |
Lindsey Caswell Riley CRD No. 1628861 8552 Bayonne Drive Huntington Beach, CA 02646 |
12/8/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-522 |
Future Vision Interactive,
Inc. 2533 North Carson Street Suite 1805 Carson City, NV 89706 |
12/8/98 |
Cease and Desist |
98-523 |
John G. Bobb 2524 Country Club Drive Uniontown, OH 44685 |
12/8/98 |
Cease and Desist |
98-524 |
William Joseph Dinapoli CRD No. 2126522 332 Phyllis Place Patchogue, NY 11332 |
12/9/98 |
Termination of Division Order 98-497 |
98-525 |
Kenneth Lee Lucas CRD No. 1233773 7904 South Olive Court Englewood, CO 80112 |
12/9/98 |
Termination of Division Order 98-515 |
98-526 |
Gregory Rizzo Traina CRD No. 1589309 6 Club House Road Somerset, NJ 08873 |
12/9/98 |
Termination of Division Order 98-504 |
98-527 |
Alexander Simpson Dewar,
Jr. CRD No. 2410643 300 Albany Street New York, NY 10280 |
12/9/98 |
Termination of Division Order 98-486 |
98-528 |
Zeeshan S. Ali CRD No. 2173121 1421 Cheryl Drive Iselin, NJ 08830 |
12/9/98 |
Termination of Division Order 98-480 |
98-529 |
Robert Brent Cohen CRD No. 1068722 111 Megan Court Alamo, CA 94507 |
12/9/98 |
Termination of Division Order 98-483 |
98-530 |
Dennis Joseph Keohane CRD No. 2300586 400 Spear Street Unit 219 San Francisco, CA 94104 |
12/9/98 |
Termination of Division Order 98-499 |
98-531 |
Ira Barry Berkowitz CRD No. 1551103 216-63 - 68th Avenue Bayside, NY 11364 |
12/9/98 |
Termination of Division Order 98-506 |
98-532 |
Salvatore Clark CRD No. 2580477 354 West 18th Street Deer Park, NY 11729 |
12/9/98 |
Termination of Division Order 98-503 |
98-533 |
Mark Bryan Turner CRD No. 2400055 7848 Travelers Tree Drive Boca Raton, FL 33433 |
12/9/98 |
Termination of Division Order 98-500 |
98-534 |
Ronald Duane Brouillette,
Jr. CRD No. 1689348 2349 King Arthur Court LaJolla, CA 92037 |
12/9/98 |
Termination of Division Order 98-479 |
98-535 |
George Edward Johnson CRD No. 3356903 195 Harbor Drive #1709 Chicago, IL 60601 |
12/9/98 |
Termination of Division Order 98-502 |
98-536 |
Angel Cruz CRD No. 1988787 52 Washburn Street San Francisco, CA 94103 |
12/9/98 |
Termination of Division Order 98-482 |
98-537 |
Helmut Meister CRD No. 815308 157 Sands Point Road Port Washington, NY 11050 |
12/9/98 |
Termination of Division Order 98-465 |
98-538 |
Anthony James Ustica CRD No. 2027309 2487 Abbey Lane Seaford, NY 11783 |
12/9/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-539 |
Mary Ellen Wilder CRD No. 2361514 9 Stonegate Court South Longview, TX 75601 |
12/10/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-540 |
James Stewart Small CRD No. 1148738 817 Wetherill Lane Wayne, PA 19087 |
12/10/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-541 |
Thomas Walsh Alison CRD No. 3005 70 Chevaux Court Atlanta, GA 30342 |
12/11/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-542 |
Gregory Michael Fabrizzi CRD No. 2349994 276 Silver Lane Old Bridge, NJ 08857 |
12/15/98 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
98-543 |
Robert Trevlin Stewart CRD No. 1611243 13204 Hollyhock Court Richmond, VA 23233 |
12/29/98 |
Termination of Division Order 98-470 |
98-544 |
Mary Ellen Wilder CRD No. 2361514 9 Stonegate Court South Longview, TX 75601 |
12/29/98 |
Termination of Division Order 98-539 |
98-545 |
Thomas Walsh Alison CRD No. 3005 70 Chevaux Court Atlanta, GA 30342 |
12/29/98 |
Termination of Division Order 98-541 |
98-546 |
James Stewart Small CRD No. 1148738 817 Wetherill Lane Wayne, PA 19087 |
12/29/98 |
Termination of Division Order 98-540 |
98-547 |
Anthony James Ustica CRD No. 2027309 2487 Abbey Lane Seaford, NY 11783 |
12/29/98 |
Termination of Division Order 98-538 |
98-548 |
Brett Lee Sander CRD No. 2187325 7908 Cincinnati Dayton Road West Chester, OH 45069 |
12/30/98 |
Notice of Opportunity for Hearing |
98-549 |
Lawrence Corna; and Telonix Microwave Industries, Inc. 2575 Welsford Road Columbus, OH 43221 |
12/21/98 |
Cease and Desist |
CRIMINAL ACTIVITY:
On December 11, 1998, Joseph Roy was sentenced in Franklin County Common Pleas Court to one year's probation and ordered to pay restitution in connection with his involvement in a non-existent company called Broadcast Activity Partners. Roy was arrested in July 1998 and charged with theft, selling unregistered securities, making misrepresentations in connection with the sale of securities, and engaging in fraudulent practices.
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