| FOR IMMEDIATE RELEASE MAY 10, 1999 |
Contact: Bill
Teets at (614) 644-7187 |
**INFORMATION RELEASE**
April 1 thru April 30, 1999
ENFORCEMENT ADMINISTRATIVE ACTIONS
Order No. |
Name/Entity |
Date |
Type of Order |
|||
99-144 |
EAI Securities
Inc. CRD No. 19298 200 Connecticut Avenue Norwalk, CT 06854 |
4/1/99 |
Suspension of Ohio Securities Dealer License; Notice of Intent to Revoke Ohio Securities Dealer License No. 176024; Notice of Opportunity for Hearing | |||
99-145 |
Weiss, Peck
& Greer, LLC CRD No. 2998 One New York Plaza New York, NY 10004 |
4/1/99 |
Suspension of Ohio Securities Dealer License; Notice of Intent to Revoke Ohio Securities Dealer License No. 176024; Notice of Opportunity for Hearing | |||
99-146 |
Capital
Brokerage Corporation CRD No. 10465 6630 West Broad Street Richmond, VA 23230 |
4/1/99 |
Suspension of Ohio Securities Dealer License; Notice of Intent to Revoke Ohio Securities Dealer License No. 176024; Notice of Opportunity for Hearing | |||
99-147 |
James Frederick Glaza CRD No. 736432 14480 D Club Villa Place Colorado Springs, CO 80921 |
4/1/99 |
Termination of Division Orders 99-046 and 99-097 |
|||
99-148 |
Michael Jay
Strasser CRD No. 1456856 88 Woodcrest Drive Woodcliff Lake, NJ 07675 |
4/1/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-149 |
Aaron
Finkelstein CRD No. 1579944 797 Lexington Avenue Apt. 3F New York, NY 10021 |
4/1/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-150 |
The Westhaven
Group 1325 Westhaven Road Toledo, OH 43615 |
4/2/99 |
Cease and Desist/Consent Agreement | |||
99-151 |
VonFeldt &
Associates, Inc. 201 N.W. 63 rd StreetSuite 200 Oklahoma City, OK 73116 |
4/2/99 |
Cease and Desist/Consent Agreement | |||
99-152 |
Grandeur Golf
Ltd., LLC; and Robert K. Stainbrook 2 North Cascade Avenue Suite 1100 Colorado Springs, CO 80903 |
4/2/99 |
Notice of Opportunity for Hearing | |||
99-153 |
Scott Thomas
Rothfuss 6043 Snowhill Drive Hamilton, OH 45011 |
4/2/99 |
Notice of Opportunity for Hearing | |||
99-154 |
Grady &
Hatch and Company, Inc. CRD No. 14262 20 Exchange Place New York, NY 10005 |
4/5/99 |
Suspension of Ohio Securities Dealer License; Notice of Intent to Revoke Ohio Securities Dealer License No. 204243; Notice of Opportunity for Hearing | |||
99-155 |
MPI
Securities, Inc. CRD No. 38192 101 Poor Farm Road P. O. Box 611 Princeton, NJ 08542 |
4/6/99 |
Termination of Division Order 99-114 |
|||
99-156 |
First Lenders
Indemnity Corporation 200 South Orange Avenue Suite 1850 Orlando, FL 32801; Shirley A. Farino 17 Coventry Newport Beach, FA 92627; and James A. Cunningham 2547 Oranve Avenue Suite D Costa Mesa, CA 92660 |
4/6/99 |
Notice of Opportunity for Hearing | |||
99-157 |
Capital
Brokerage Corporation CRD No. 10465 6630 West Broad Street Richmond, VA 23230 |
4/7/99 |
Termination of Division Order 99-146 |
|||
99-158 |
Casino
Cruises; 2901 West Pacific Coast Highway Newport Beach, CA 92663; and Gary Jason McCrory 350 East 17 th StreetCosta Mesa, CA 92627 |
4/7/99 |
Notice of Opportunity for Hearing | |||
99-159 |
Daniel Francis
Petronelli CRD No. 866944 275 Crescent Street West Bridgewater, PA 02379 |
4/7/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-160 |
Jonathan
Russell Legg CRD No. 2123916 3615 Underwood Street Chevy Chase, MD 20815 |
4/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-161 |
Anthony Scott
Almeida CRD No. 2471343 301 81 st StreetBrooklyn, NY 11209 |
4/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-162 |
Scott David
Bobrow CRD No. 2261234 400 East 71 st Street#6M New York, NY 10021 |
4/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-163 |
Eric Robinson
Elliott CRD No. 1418906 2875 Pinetree Drive Miami Beach, FL 33140 |
4/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-164 |
Michael Louis
Poggi CRD No. 2172015 5097 SW 34 th TerraceFt. Lauderdale, FL 33312 |
4/8/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-165 |
Stephen
Michael O’Donnell CRD No. 1931363 1653 73 rd StreetBrooklyn, NY 11204 |
4/13/99 |
Termination of Division Order 99-106 |
|||
99-166 |
Douglas Dale
Reese CRD No. 724650 1910 Knollwood Drive Marshalltown, IA 50158 |
4/13/99 |
Termination of Division Order 99-119 |
|||
99-167 |
Michael Kim
Wong CRD No. 1164125 114 Vasquez Avenue San Francisco, CA 94127 |
4/13/99 |
Termination of Division Order 99-067 |
|||
99-168 |
James F.
Wardell 1618 Oak Creek Lane Suite C Bedford, TX 76022; Randall W. Law Lennox Investment Group, Ltd. 1232 West Kemper Road Suite 296 Cincinnati, OH 45240; and Monica M. Illes Standard Capital Group 740 Northland Road Suite F Cincinnati, OH 45240 |
4/19/99 |
Final Order to Cease and Desist | |||
99-169 |
John Andrew
Pliakas CRD No. 364605 370 Bear Hill Road North Andover, MA 01845 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-170 |
Blake Somerset
Murray CRD No. 1271787 474 Cardinal Oaks Court Lake Mary, FL 32746 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-171 |
Richard Neil
Molinsky CRD No. 1143582 303 Silver Creek Lane Norwalk, CT 06850 |
4/16/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-172 |
Gerard Joseph
Arrigale, Jr. CRD No. 2265877 61-28 78 Street Middle Village, NY 11379 |
4/16/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-173 |
David Charles
Baron, Jr. CRD No. 1501891 1290 Gulf Boulevard Clearwater, FL 34630 |
4/16/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-174 |
Octave Joseph
Francis III CRD No. 1590513 3501 Octavia Street New Orleans, LA 70125 |
4/16/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-175 |
Scott David
Bobrow CRD No. 2261234 400 East 71 st Street#6M New York, NY 10021 |
4/19/99 |
Termination of Division Order 99-162 |
|||
99-176 |
Aaron
Finkelstein CRD No. 1579944 797 Lexington Avenue Apt. 3F New York, NY 10021 |
4/19/99 |
Termination of Division Order 99-149 |
|||
99-177 |
Gerald Malcolm
Goodman CRD No. 1492860 610 Old Farm Road Columbus, OH 43213 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-178 |
Eric Robinson
Elliott CRD No. 1418906 2875 Pinetree Drive Miami Beach, FL 33140 |
4/19/99 |
Termination of Division Order 99-163 |
|||
99-179 |
Gerald Joseph
Divozzo, Sr. CRD No. 1022762 36269 Oakshire Drive Mount Clemens, MI 48043 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-180 |
Michael Jay
Strasser CRD No. 1456856 88 Woodcrest Drive Woodcliff, NJ 07675 |
4/19/99 |
Termination of Division Order 99-148 |
|||
99-181 |
Mark Horace
Love CRD No. 1268245 7172 East Greyfox Lane Tucson, AZ 85750 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-182 |
William
Michael Abbate CRD No. 2079282 40 Huyler Landing Road Cresskill, NJ 07626 |
4/19/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-183 |
Andrew
Antonucci CRD No. 2418788 1881 Clarkson Parma Town Line Rd. Hilton, NY 14468 |
4/20/99 |
Final Order to Deny Application for Securities Salesman License | |||
99-184 |
Russell Dale
Goldner CRD No. 1337636 10465 Shadyside Lane Cincinnati, OH 45249 |
4/20/99 |
Final Order Granting Application for Securities Salesman License | |||
99-185 |
Reed
Freyermuth CRD No. 214278 2832 Adeline Drive Burlingame, CA 94010 |
4/20/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-186 |
John Bernard
Flanagan CRD No. 2138496 196 Theodore Drive Coram, NY 11727 |
4/20/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-187 |
Kenneth Neil
Greenbaum CRD No. 2221012 201 West 89 th StreetNew York, NY 10024 |
4/20/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-188 |
Marion Elegar
Thackston III CRD No. 1148597 282 Private Drive Proctorville, OH 45669 |
4/20/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-189 |
Peter Michael
Patterson CRD No. 357964 11 Barbara Road Hopkinton, MA 01748 |
4/20/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing | |||
99-190 |
Unique
Financial Concepts, Inc.; Renee Confidante; and Nicholas D. DeAngelis 3785 North Federal Highway Third Floor Boca Raton, FL 33431 |
4/22/99 |
Notice of Opportunity for Hearing | |||
99-191 |
International
Forex Investments Ltd. Aka Forex Financial Group Inc.; Bryan Darrow; and Tom Morrison 67 Wall Street Suite 2411 New York, NY 10005 |
4/22/99 |
Notice of Opportunity for Hearing | |||
99-192 |
Andre D.
Anderson P. O. Box 4201 Renton, WA 98057-4201 |
4/22/99 |
Notice of Opportunity for Hearing | |||
99-193 |
ATM USA
Corporation 2500 City West Blvd. Suite 300 Houston, TX 77042; Michael A. George P. O. Box 6344 Canton, OH 44706; and James Alter P. O. Box 512 Dearborn Heights, MI 48127 |
4/22/99 |
Notice of Opportunity for Hearing | |||
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