| FOR IMMEDIATE RELEASE JULY 15, 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**
June 1 thru June 30, 1999
ENFORCEMENT ADMINISTRATIVE ACTIONS
Order No. |
Name/Entity |
Date |
Type of Order |
| 99-244 | Robo Enterprises, Inc.; Robo-Ohio Berea Development LLP; and Craig Hayden Ohio File Nos. 474040 and 474244 942 Searcy Way Bowling Green, KY 42103 |
6/1/99 |
Notice of Opportunity for Hearing |
| 99-245 | James Minter Turner 918 Ridgelawn Avenue Hamilton, OH 45013 |
6/1/99 |
Notice of Intent to Revoke Securities Salesperson License; Notice of Opportunity for Hearing |
| 99-246 | Mark Bennett Freeman CRD No. 1590373 439 Centre Island Road Centre Island, NY 11771 |
6/1/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-247 | Peter Joseph Conley CRD No. 1905484 2586 Arbor Drive Newport Beach, CA 92663 |
6/1/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-248 | James Patrick Reedy CRD No. 2121643 3402 Potomac Avenue Dallas, TX 75205 |
6/1/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-249 | Steven Alan Wagner CRD No. 825793 1320 Seaby Drive Ft. Lauderdale, FL 33326 |
6/2/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-250 | William H. Jewell Jr.; and
States Oil Company, Inc. 245 Fourth Street Portsmouth, OH 45662 |
6/4/99 |
Cease and Desist |
| 99-251 | Casino Cruises 2901 West Pacific Coast Highway Newport Beach, CA 92663; and Gary Jason McCrory 350 East 17th Street Costa Mesa, CA 92627 |
6/4/99 |
Cease and Desist |
| 99-252 | Weiss, Peck & Greer LLC CRD No. 2998 One New York Plaza New York, NY 10004 |
6/9/99 |
Termination of Division Order 99-145 |
| 99-253 | Lawrence John Doherty CRD No. 1106279 75 Lloyd Road Morganville, NJ 07751 |
6/9/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-254 | Ronald James Bateh CRD No. 869380 23 Putnam Drive Atlanta, GA 30342 |
6/9/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-255 | Donson Gene Brooks CRD No. 1742163 18515 Gibbons Drive Dallas, TX 75287 |
6/9/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-256 | John Edward McCartin CRD No. 1634978 2420 Torrey Pines Road LaJolla, CA 92037 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-257 | George Jerry Merges CRD No. 1610239 5375 Monterey Circle #38 Delray Beach, FL 33484 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-258 | Leauwandeau Michael Clarke
CRD No. 1680148 4815 Kester Avenue, Apt. #4 Sherman Oaks, CA 91403 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-259 | Paul William Houlihan CRD No. 815201 272 Belleair Drive NE St. Petersburg, FL 33704 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-260 | Russell Paul Green CRD No. 1391627 1735 York Avenue Apt. 31G New York, NY 10128 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-261 | Ronald Vincent Cantalupo CRD No. 3137208 266 Pelham Road New Rochelle, NY 10805 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-262 | Jeffrey Scott Davis CRD No. 3081852 2408 Hillsboro Quay Virginia Beach, VA 23456 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-263 | Patrick Joseph
O’Connor CRD No. 2445398 428 Avalon Place East Meadow, NY 11554 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-264 | Ralph Hicks Lord CRD No. 312708 4311 N. Honeysuckle Lane Jackson, MS 39211 |
6/10/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-265 | Joseph Andrew Aguilera CRD No. 1323448 105 Duane Street Apt. 41B New York, NY 10007 |
6/11/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-266 | Grady & Hatch &
Company, Inc. CRD No. 14262 20 Exchange Place, 49th Floor New York, NY 10005 |
6/17/99 |
Termination of Division Order 99-154 |
| 99-267 | Craig Shapiro CRD No. 2871047 1448 East 51 Street Brooklyn, NY 11234 |
6/17/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-268 | Robert James Quinn CRD No. 2434173 60 Church Avenue Islip, NY 11730 |
6/17/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-269 | Gerald Edward Donnelly CRD No. 815158 3 Oliveira Lane Lafayette, CA 94549 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-270 | James Lawrence Smith CRD No. 1556046 10343 San Diego Mission Road San Diego, CA 92108 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-271 | Robert Anthony Papariella CRD No. 726894 972 Field Club Road Pittsburgh, PA 15237 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-272 | John Glenn Bobb 2524 Country Club Drive Uniontown, OH 44685 |
6/23/99 |
Cease and Desist |
| 99-273 | Steven Farley Richards CRD No. 1484496 132 Seascape Ridge Drive Aptos, CA 95003 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-274 | Michael James Zaccaro CRD No. 717500 26762 Calle Almanza Capistrano Beach, CA 92624 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-275 | Octave Joseph Francis III CRD No. 1590513 3501 Octavia Street New Orleans, LA 70125 |
6/23/99 |
Final Order to Deny Application for Securities Salesman License |
| 99-276 | Duwayne Raymond Kollodge CRD No. 502290 11567 52nd Street NE Albertville, MN 55301 |
6/23/99 |
Final Order to Deny Application for Securities Salesman License |
| 99-277 | Charles Lawrence Tibolet CRD No. 1186385 311 Columbia Drive Aliquippa, PA 15001 |
6/23/99 |
Final Order to Deny Application for Securities Salesman License |
| 99-278 | Scott Charles Shay CRD No. 2176342 162 New Dorp Plaza Staten Island, NY 10306 |
6/24/99 |
Termination of Division Order 99-222 |
| 99-279 | Samuel Luffberry Collins CRD No. 51345 1081 Downshire Chase Virginia Beach, VA 23452 |
6/21/99 |
Notice of Intent to Deny Application for Securities Salesman License; Notice of Opportunity for Hearing |
| 99-280 | Reed Freyermuth CRD No. 214278 2832 Adeline Drive Burlingame, CA 94010 |
6/24/99 |
Final Order to Deny Application for Securities Salesman License |
| 99-281 | Perry Andrew Groves 2850 South County Road 25A Troy, OH 45373 |
6/29/99 |
Cease and Desist and Consent Agreement |
| 99-282 | Frank D. Brown 1117 Broadway Ave. S.E. Masury, OH 44438 |
6/29/99 |
Cease and Desist |
| 99-283 | Klein, Maus & Shire,
Inc. CRD No. 20427 110 Wall Street, 24th Floor New York, NY 10005 |
6/30/99 |
Suspension of Ohio Securities Dealer License No. 167059; Notice of Intent to Revoke Ohio Securities Dealer License No. 167059; Notice of Opportunity for Hearing |
[Commerce Home Page] [Commerce News Releases] [State of Ohio Front Page]
Send mail to Postmaster@com.state.oh.us
with questions or comments about this web site.
Information believed accurate but not guaranteed. The State of Ohio disclaims
liability for any errors or omissions.
Copyright © 1998 The Ohio Department of Commerce