| FOR IMMEDIATE RELEASE MARCH 2, 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**
February 1, 1999 – February 28, 1999
ENFORCEMENT ORDERS:
Order No. |
Name/Entity |
Date |
Type of Order |
99-036 |
Gaines Cass Walker CRD No. 728023 1219 Whitower Drive Knoxville, TN 37919 |
2/2/99 |
Termination of Division Order 99-016 |
99-037 |
Richard Lawrence Novosel CRD No. 829603 205 Chadborne Court Wesford, PA 15090 |
2/2/99 |
Termination of Division Order 99-014 |
99-038 |
Bret Lee Sander CRD No. 2187325 7908 Cincinnati-Dayton Road West Chester, OH 45069 |
2/3/99 |
Cease and Desist |
99-039 |
Christoph Andreas Trina CRD No. 1403607 553 Framhill Circle Wacounda, IL 60084 |
2/2/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-040 |
Robert Keith Incaprera CRD No. 1064833 4608 Hessmer Avenue Metairie, LA 70002 |
2/2/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-041 |
Thomas John Granite CRD No. 2381637 1117 83 rd StreetBrooklyn, NY 11228 |
2/3/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-042 |
Jack Frank Bruscianelli CRD No. 2113986 6541 Greene Road Woodridge, IL 60517 |
2/3/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-043 |
John Anthony Sinkula, Jr. CRD No. 817771 9010 NE 34 thBellevue, WA 98004 |
2/3/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-044 |
John Martin Foss CRD No. 211655 2998 Jackson Street #2 San Francisco, CA 94115 |
2/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-045 |
Stephen Saul Wien CRD No. 466374 2528 NW 63 rd StreetBoca Raton, FL 33496 |
2/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-046 |
James Frederick Glaza CRD No. 736432 14480 D Club Villa Place Colorado Springs, CO 80921 |
2/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-047 |
John Joseph Connors CRD No. 1651707 3 Stonemeadow Drive Westwood, MA 02090 |
2/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-048 |
Elliot Joel Smith CRD No. 427485 40 East 56 th StreetAtp. 19D New York, NY 10022 |
2/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-049 |
Lawrence Clifford Schmelzer CRD No. 1890520 21392 South Woodland Road Shaker Heights, OH 44122 |
2/9/99 |
Final Order Granting Ohio Securities Salesman License |
99-050 |
Charles William Sheets CRD No. 1037977 2874 Robal Court Saline, MI 48176 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-051 |
Michael Pugliese CRD No. 2400599 468 Oak Avenue Cedarhurst, NY 11516 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-052 |
Mary Rose Limoges CRD No. 734263 16433 Bronco Lane Poway, CA 92064 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-053 |
Perry Alan Raphan CRD No. 2339872 91 Plainview Road Woodbury, NY 11797 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-054 |
Jack Jun Xie CRD No. 2445367 5328 Bamboo Court Orlando, FL 32811 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-055 |
Tobin Joseph Senefeld CRD No. 2120820 4223 Winding Creek Road Crestwood, KY 40014 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-056 |
Vincent Minerva CRD No. 2276290 2529 East 64 th StreetBrooklyn, NY 11234 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-057 |
Marion Daniel Sherrill CRD No. 1882753 410 Stock Gap Road SW Monroe, GA 30656 |
2/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-058 |
The Heritage Foundation 575 Copeland Mill Road Westerville, OH 43081 |
2/10/99 |
Notice of Opportunity for Hearing |
99-059 |
Radcliffe St. Aubyn Bent CRD No. 1306247 27 Rivers Edge Drive Colts Neck, NJ 07722 |
2/11/99 |
Termination of Division Order 99-034 |
99-060 |
Steven Joseph Ingrassia CRD No. 2319180 21 John Bean Court Port Washington, NY 11050 |
2/11/99 |
Termination of Division Order 99-027 |
99-061 |
The Westhaven Group 1325 Westhaven Road Toledo, OH 43615 |
2/12/99 |
Notice of Opportunity for Hearing |
99-062 |
Peter Rettman CRD No. 374418 3700 West Lawton Street Seattle, WA 98199 |
2/12/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-063 |
Daniel Paul Verbic CRD No. 2273007 515 Boston Street Baltimore, MD 21224 |
2/12/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-064 |
Alain J. Florestan CRD No. 2818942 36-19 109 Street Corona, NY 11368 |
2/12/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-065 |
David Nathaniel Slavny CRD No. 1430589 4474 Club Drive Atlanta, GA 30319 |
2/17/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-066 |
Marshall Joel Weberman CRD No. 1030532 241 Old Boston Road Wilton, CT 06897 |
2/22/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-067 |
Michael Kim Wong CRD No. 1164125 114 Vasquez Avenue San Francisco, CA 94127 |
2/22/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-068 |
Joseph John Hoenigman CRD No. 1540482 2207 Recodo Court LaCosta, CA 92009 |
2/22/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-069 |
Jon Joseph Demichiel CRD No. 2540747 212 East 47 208 New York, NY 10017 |
2/23/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-070 |
Thomas John Granite CRD No. 2381637 1117 83 rd StreetBrooklyn, NY 11228 |
2/23/99 |
Termination of Division Order 99-041 |
99-071 |
Charles William Sheets CRD No. 1037977 2874 Robal Court Saline, MI 48176 |
2/23/99 |
Termination of Division Order 99-050 |
99-072 |
Tobin Joseph Senefeld CRD No. 2120820 4223 Winding Creek Road Crestwood, KY 40014 |
2/23/99 |
Termination of Division Order 99-055 |
99-073 |
D.H. Blair & Co., Inc.
44 Wall Street New York, NY 10005 |
2/23/99 |
Cease and Desist/Consent Agreement/Restitution Fund Participation for Eligible Investors |
99-074 |
Gregg Eric Weisenberg CRD No. 2401364 105 Saugatuck Avenue Westport, CT 06880 |
2/23/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
99-075 |
John Anthony Sinkula CRD No. 81771 9010 NE 34 thBellevue, WA 98004 |
2/23/99 |
Termination of Division Order 99-043 |
99-076 |
Vincent Minerva CRD No. 2276290 2529 East 64 th StreetBrooklyn, NY 11234 |
2/23/99 |
Termination of Division Order 99-056 |
99-077 |
Perry Alan Raphan CRD No. 2339872 91 Plainview Road Woodbury, NY 11797 |
2/23/99 |
Termination of Division Order 99-053 |
99-078 |
Jack Jun Xie CRD No. 2445367 5328 Bamboo Court Orlando, FL 32811 |
2/23/99 |
Termination of Division Order 99-054 |
99-079 |
Marion Daniel Sherrill CRD No. 1882753 410 Stock Gap Road SW Monroe, GA 30656 |
2/23/99 |
Termination of Division Order 99-057 |
99-080 |
Michael Pugliese CRD No. 2400599 468 Oak Avenue Cedarhurst, NY 11516 |
2/23/99 |
Termination of Division Order 99-051 |
99-081 |
National Airwave
Technology Consortium, Inc. 6755 Mira Mesa Blvd. Suite 123-124 San Diego, CA 92121; Air Advantage PCS, LLC 41 South Central 4 th FloorSt. Louis, MO 63105; and Barton Thomas 6755 Mira Mesa Blvd. Suite 123-124 San Diego, CA 92121 |
2/25/99 |
Cease and Desist |
99-082 |
Hartmut Haussecker dba
CIHACO International, Inc.; and Bartley Carson Healy 3535 East Coast Highway #2 Corona Del Mar, CA 92625-2402 |
2/25/99 |
Cease and Desist |
99-083 |
M.S. Farrell & Co., Inc. 67 Wall Street 3 rd FloorNew York, NY 10005 |
2/25/99 |
Notice of Opportunity for Hearing |
99-084 |
Steven Grivas CRD No. 1829703 248-59 Thornhill Avenue Douglaston, NY 11362 |
2/26/99 |
Final Order Granting Ohio Securities Salesman License |
99-085 |
John Henry Cierski CRD No. 2138486 10 Intervale Road East Setaauker, NY 11733 |
2/26/99 |
Final Order Denying Ohio Securities Salesman License |
Criminal Activity
On December 16, 1998, William C. Holdash plead guilty in U.S. District Court in Cleveland to one count of mail fraud. Holdash ran a business in Independence, Ohio, called The Equity Fund, Inc. Holdash’s clients believed they were investing in safe government securities, however, Holdash was found to have withdrawn investor funds from The Equity Fund business account and used them for personal financial ventures. Holdash also sent falsified statements of account to investors and monthly interest checks. Over 50 individual victims invested approximately $5,214,000.00 from 1990 until September 1998. Sentencing is set for March 10, 1999.
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