Current | 2011 | 2010 Dennis Lee Keating II, Registered Principal of Temecula, CA Barred 12/31/2010 Jack Clark Smith Jr., Registered Principal of San Diego, CA Fined and suspended 12/31/2010 Guilty Plea in Texas Ponzi Scam Alan Todd May and Prosper Oil & Gas 12/13/2010 Finra moves to shut down 'boiler room' B-D Regulator says Pinnacle Partners and Brian K. Alfaro was hawking fraudulent Reg D offerings; also says firm destroyed documents 12/03/2010 Henderson firm fighting ‘smear attempt’ by shareholders More on Desert Capital 12/02/2010 The judge in the alleged Ponzi scheme case granted a defense request for document copies Maurice McLeod, James Duncan, Hendrix Montecastro and Helen Moreno Pedrino, from Murrietta and Charlie Sung Choi, Thuan Nhan Du and Cindi Kelly from San Diego 12/01/2010 Ponzi suspect Jeremy Hart - UPDATE He faces up to 9 years in prison in $3.4M 11/30/2010 Centaurus Financial, Inc. of Anaheim, CA Censured and Fined 11/01/2010 Intermountain Financial Services, Inc. of Heber City, UT and Kent Duane Sweat, Registered Principal of Heber, UT 11/01/2010 Farmers Financial Solutions, LLC of Agoura Hills, CA Censured and Fined 11/01/2010 Isaak Bond Investments, Inc. of Denver, CO Censured and Fined 11/01/2010 Stephen Dee Linge, Registered Rep of Murray, UT Suspended 11/01/2010 Kevin Bradley Martin, Registered Principal of El Dorado Hills, CA Fined and Suspended 11/01/2010 Michael Scott Silva, Registered Supervisor of Petaluma, CA Fined and Suspended 11/01/2010 Julie Sheau Lin Ting, Registered Rep of Monterey Park, CA Suspended 11/01/2010 Probable cause found in $3.5 million Ponzi case Richard Novaria, of Greeley and Jeremy Hart, of Fort Collins, CO 10/23/2010 Colo. Man Charged In Alleged Ponzi Scheme Sean Michael Mueller and Mueller Capital Management LLC 10/12/2010 Okoboji Financial Services, Inc. and it’s principals ordered to pay California retiree over $359,000 Provident Award 10/11/2010 Bills ease burden on Ponzi victims Relief Act of 2010, HR 5058 10/06/2010 Century Pacific Securities, Inc. of Kirkland, WA and and Asa Williams of Bellevue, WA Named as a Respondents 10/01/2010 Fort Worth suit accuses company of shortchanging on royalties Chesapeake Energy 09/30/2010 Jason Roberts Coles, Registered Rep of Rancho Santa Margarita, CA Fined and Suspended 09/30/2010 Michael Shaun Doherty, Registered Principal of Hermosa Beach, CA Fined and Suspended 09/30/2010 Steven Emery Floyd, Registered Rep of West Jordan, UT Barred 09/30/2010 Gregory Earl Hafen, Registered Principal of Cerritos, CA Fined and Suspended 09/30/2010 Mike Robert Kilpatrick, Registered Principal of Ventura, CA Fined and Suspended 09/30/2010 John Leisen Kreuz, Registered Principal of Las Vegas, NV Fined and Suspended 09/30/2010 Allen Pond Mecham, Registered Rep of Logan, UT Barred 09/30/2010 Michael Alcide Poutre II, Registered Principal of Woodland Hills, CA Suspended 09/30/2010 Craig Lee Randall, Registered Principal of Fountain Valley, CA Censured, fined and suspended 09/30/2010 Anne Marie Schlenker, aka Anne Marie Rippy, Registered Rep of Bozeman, Montana Barred 09/30/2010 Steven Craig Vanderhoof, Registered Principal, Santa Ana, CA Fined and Suspended 09/30/2010 Bear William Woznick, Registered Rep of Honolulu, Hawaii Fined and Suspended 09/30/2010 Carol Jean Benge aka Carol Jean Digges, Registered Rep, of Mayer, AZ Named as a Respondent 09/30/2010 Boulder banker accused of fraud Mark Hamilton Yost and his company, Yost Co 09/10/2010 SEC issues Cease and Desist to Colorado man Greenberg and his Agile hedge fund 09/06/2010 SEC Charges N.J. Investment Advisor With $11 Million Fraud Sandra Venetis 09/02/2010 Guilty Plea in $535 Million Ponzi Scams Provident Royalties and Joseph Blimline 09/01/2010 National Securities Corp., of Seattle, WA Censured and fined 09/01/2010 Solaris Securities, Inc., of San Antonio, TX Censured and fined 09/01/2010 Michael Wayne Beardsley, Registered Principal of Oakland, CA Fined and Suspended 09/01/2010 Jarem Barry Bingham, Registered Rep of Tucson, AZ Fined and Suspended 09/01/2010 Bradley Derek Buchanan, Registered Rep of Reno, NV Barred 09/01/2010 Leo Timothy Buggy, Registered Principal of Green River, WY Barred 09/01/2010 Donald Jay Carrig, Registered Rep of Irvine, CA Fined and Suspended 09/01/2010 Peter Kai Chang, Registered Rep of Danville, CA Barred 09/01/2010 Thomas George Fullerton, Registered Supervisor of Bakersfield, CA Barred 09/01/2010 Esther Esparza Garcia, Registered Rep of Las Cruces, NM Barred 09/01/2010 Maria DeJesus Lastra, Registered Principal of San Diego, CA Fined and Suspended 09/01/2010 Erik Carl Peterson, Registered Principal of Lolo, MT Fined and Suspended 09/01/2010 Michael Frederick Siegel, Registered Rep of Beverly Hills,CA Fined and Suspended 09/01/2010 Christopher Anthony Lee, Registered Rep of Dublin, CA Named as a Respondent 09/01/2010 Hansel Clarence Cua Lee, Registered Rep of Burbank, CA Named as a Respondent 09/01/2010 Dallas man pleads guilty in $535M oil, gas schemes Provident Royalties Update 08/30/2010 Eight charged in Calif. real estate fraud scheme Heaven Investments 08/13/2010 Calif. man pleads guilty in $15M Illinois scheme William Huber of La Jolla CA 08/10/2010 Santa Ana investment firm owner is accused of fraud Richard H. Nickles Update 08/06/2010 Butler Muni, LLC of San Ramon, CA Censured and fined 08/02/2010 First Allied Securities, Inc. fka FFP Securities, Inc. of San Diego, CA Censured and fined 08/02/2010 Greenberg Financial Group of Tucson, AZ Censured and fined 08/02/2010 Wedbush Securities, Inc. of Los Angeles, CA Censured and fined 08/02/2010 Blaine Carter Davis, Registered Rep of Draper, UT Barred 08/02/2010 Douglas Kyle Haas, Registered Rep of Queen Creek, AZ Fined and Suspended 08/02/2010 Arthur Albert Halleen, Registered Rep of Pottsboro, TX Barred 08/02/2010 Stephen A. Hancock, Registered Rep of San Francisco,CA Barred 08/02/2010 Steve G. Kelly, Registered Rep of Tucson, AZ Barred 08/02/2010 William Blaze Krusheski, Registered Principal of Carlsbad, CA Barred 08/02/2010 David Laifer, Registered Rep of Gold Canyon, AZ Fined and Suspended 08/02/2010 Jeffrey Scott Mayer, Registered Principal of Fresno CA Fined and Suspended 08/02/2010 Michael Alcide Poutre II, Registered Principal of Woodland Hills, CA Fined and Suspended 08/02/2010 Ryan Nicholas Shubin, Registered Rep of Laguna Niguel, CA Fined and Suspended 08/02/2010 Noble Bradford Trenham, Registered Principal of Pasadena, CA Barred 08/02/2010 Seyed Ahmad Hashemian, Registered Rep of Irvine, CA Censured and fined 08/02/2010 Stephen White Wilson, Registered Rep of Thousand Oaks, CA Barred 08/02/2010 Financial planner faces lawsuits Ian Filippini and Filippini financial Group 07/05/2010 Heffelfinger pleads guilty to $1.7 million Ponzi scheme Commissioner deciding if Broker-Dealer should be charged also 07/02/2010 SEC Sues Utah Man For $145 Million Real Estate Investing Fraud Travis Wright and his Waterford Funds 07/02/2010 FINRA Orders Westpark Capital to Pay $400,000 for Failing to Supervise Brokers with Histories of Disciplinary Actions Chief Operations Officer, Former Chief Compliance Officer Also Named; Former Brokers Barred, Former Branch Manager Disciplined in Separate Actions 06/30/2010 Plan Member Securities Corporation of Carpinteria, CA Censured and fined 06/30/2010 GVC Capital LLC fka Bathgate Capital Partners LLC of Greenwood Village, CO Censured,fined and ordered to pay resitution 06/30/2010 EDI Financial, Inc. of Dallas, TX Censured and fined 06/30/2010 John Roy Boyer, Registered Rep of Missoula, MT Fined and Suspended 06/30/2010 Donald Edwin Derieg, Registered Rep of Encino, CA Barred 06/30/2010 Danial de Sade, Registered Rep of Peoria, AZ Barred 06/30/2010 Michael Phillip Dunham Registered Principal of Nichols Hills, OK Fined and Suspended 06/30/2010 Robert Franklin Hockensmith Jr., Registered Rep of Glendale, AZ Barred 06/30/2010 David Michael Logsdon, Registered Rep of Hailey, ID Fined and Suspended 06/30/2010 James Carter McKelvain, Registered Rep of Burleson, TX Fined and Suspended 06/30/2010 Colleen Marie McMahon-Hill, Registered Rep of Surprise, AZ Barred 06/30/2010 Casey Joseph OConnell, Registered Principal of Sparks, NV Fined and Suspended 06/30/2010 Carl A. Page, Registered Rep of Bountiful, UT Fined and Suspended 06/30/2010 Jay Sheldon Potter Jr. , Registered Principal of San Diego, CA Fined and Suspended 06/30/2010 Ronald Douglas Rogers, Registered Rep of Fairbank, IA Fined and Suspended 06/30/2010 Carlos Suazo, Registered Rep of Marina Del Rey, CA Barred 06/30/2010 Tiffany Leigh Zachary, Registered Rep of The Woodlands, TX Fined and Suspended 06/30/2010 Financial Advisor Charged With Fraud, Breaching Fiduciary Duty Jeffrey S. Preston and his firm Life Wealth Management Inc. in Valencia, CA 06/29/2010 Bestselling author loses nearly everything in Apple Valley man's Ponzi scheme Trevor Cook of Apple Valley 06/28/2010 Investigation into alleged $100M Ponzi scheme Lawrence Leland "Lee" Loomis 06/28/2010 Ponzi suspects from Tiburon could have assets frozen Glenn Kane Jackson and Gina Michelle McGee 06/22/2010 Judge freezes assets of O.C. company accused in $53-million Ponzi scheme Matthew Jennings and Westmoore Management LLC and Westmoore Investment LP 06/17/2010 SEC files complaint against GR broker Martin Wegener accused of taking $6.5 million 06/17/2010 Armitage will face trial over $200 million alleged fraud Armitage, Koenig & Asset Real Estate & Investment Update 06/02/2010 Mission Securities Corporation of San Diego, CA Barred Craig Michael Biddick, Registered Principal of Rancho Santa Fe, CA Barred 05/31/2010 Roth Capital Partners, LLC of Newport Beach, CA Censured and fined 05/31/2010 Wedbush Morgan Securities Inc. of Los Angeles, CA Censured and fined 05/31/2010 Martin David Batstone, Registered Rep of San Diego, CA Fined and Suspended 05/31/2010 Roslyn E. Bixby, Registered Rep of Seal Beach, CA Fined and Suspended 05/31/2010 David Bigelow Crocker, Registered Rep of Santa Fe, NM Censured, fined and disgorgement 05/31/2010 Jason Allen Groth, Registered Rep of San Diego, CA Fined and Suspended 05/31/2010 Reed Theodore Johnson, Registered Principal of San Diego, CA Fined and Suspended 05/31/2010 Gerald Jamieson Kesner, Registered Rep of Lakewood, CO Barred 05/31/2010 Harold Sheldon Minsky, Registered Rep of Northridge, CA Fined and Suspended 05/31/2010 Jerome Joseph Stellick, Registered Rep of Bonney Lake, WA Barred 05/31/2010 Dallas-based Provident Asset Management Expelled for Marketing Fraudulent Private Placements FINRA Continues Nationwide Initiative Investigating Broker-Dealers Engaged in Private Placements 05/31/2010 2 Northern Colorado men accused of running $3.5 million Ponzi scheme Richard Novaria, of Greeley, Jeremy Hart, of Fort Collins, CO & Dreamweaver Foundation Inc 05/28/2010 Two Securities Broker-Dealers Indicted for Securities Fraud Scheme in Texas Blake Williams, of Dallas, TX, Derek Lopez, of Torrance, CA & TBeck Capital Inc 05/27/2010 Important IRS Guidance for TIC Investors DBSI update 05/18/2010 Two Headed to Prison in O.C. Ponzi Update James Halstead of Tustin & Irvine attorney Jeanne Rowzee 05/17/2010 Man Charged In $2M Ponzi Scheme Scott Pionk Charged With 9 Felonies 05/11/2010 New Braunfels firm accused of securities fraud has assets frozen Retirement Value LLC & President Richard "Dick" Gray and Chief Operating Officer Bruce Collins 05/06/2010 American Mortgage files Chapter 11 The mortgage REITshares are down 98% in last year 05/01/2010 Robert Paul Aamodt, Registered Principal of Layton, Utah Fined and Suspended 04/30/2010 Heriberto Americo Artiga Sr., Registered Rep of Sylmar, CA Barred 04/30/2010 Horus River Brown, Registered Rep of La Jolla, CA Barred 04/30/2010 Leonard Charles Brown, Registered Supervisor of Phoenix, AZ Barred 04/30/2010 Aleksandr Yurievich Denisov, Registered Principal of Marina Del Rey, CA Fined and Suspended 04/30/2010 Kevin Lorenzo Gillespie, Registered Principal of Santa Ana, CA Suspended 04/30/2010 Michael Anthony Gist, Registered Rep of Highlands Ranch, CO Fined and Suspended 04/30/2010 Ruthe Pessin Gomez, Registered Principal of Fremont, CA Barred 04/30/2010 William Frederick Nord, Registered Rep of Costa Mesa, CA Fined and Suspended 04/30/2010 Douglas Richard Smith, Registered Principal of Newbury Park, CA Fined and Suspended 04/30/2010 Jennifer Birrell Young, Registered Rep of Parker, CO Barred 04/30/2010 FINRA Fines H&R Block Financial Advisors for Inadequate Supervision of Reverse Convertible Notes Sales $200,000 for failing to establish adequate supervisory systems and procedures for supervising sales of RCNs to retail customers 04/30/2010 Richard Alan Mechikoff Jr., Registered Rep of Fresno,CA Fined and Suspended 04/30/2010 Gary Ben Miner, Registered Rep of Boise, Idaho Fined and Suspended 04/30/2010 Scott Daniel Hendrickson, Associated Person of Yorba Linda, CA Fined and Suspended 04/30/2010 David Mark Jackson, Registered Rep of San Clemente, CA Fined and Suspended 04/30/2010 Grand jury indicts Dharma Investment Group's owners on multiple counts of securities fraud Bela A. Geczy, Michael B. Kass & Dharma Investment Group 04/21/2010 SEC Charges Four With $8 Million Fraudulent Unregistered Offering Connected To Arizona Real Estate Steven R. Long, Stanley M. Paulic, Integrity Financial AZ, LLC, Walter W. Knitter and Robert C. Koeller 04/16/2010 SEC freezes the assets of Richard H. Nickles and his Santa Ana companies Innovative Advisory Services Inc., Innovative Advisory Services and Island Trader 04/15/2010 Vallejo man pleads guilty in Ponzi scheme Robert Brown Jr., and Duane Eddings & Trebor Company 04/07/2010 3 defendants in Ponzi scheme reject plea bargains Gary T. Armitage, Joes S. Koenig and Jeffrey A. Guidi 04/07/2010 Kirkland securities broker expected to plead guilty, prosecutors say Rhonda Breard Update 04/04/2010 Class Claims Ameriprise Presided Over Ponzi Securities America due diligence advisers advised risk with MedCap!!! 03/22/2010 Six broker-dealers subpoenaed over private placements - MedCap & Provident Mass. securities regulator looking for more info from independent firms 03/22/2010 Finra shuts down GunnAllen GunnAllen founders jumping to rival broker-dealer in wake of firm’s collapse 03/22/2010 Regulator bars Provident from selling securities Provident Asset Management LLC labeled a "massive Ponzi scheme" 03/18/2010 64 Hawaii residents victimized in $10M Ponzi scheme; Florida man arrested Patrick H. Rakotonanahary & Cyber Market Group, LLC 03/18/2010 Felon Ran $200 Million Ponzi, Victims Say AREI & James Koenig Update 03/16/2010 Kevin Joseph Sylla, Registered Principal of Beverly Hills, CA Fined and Suspended 03/15/2010 Craig Michael Taggart, Registered Rep of Mission Viejo, CA Fined and Suspended 03/15/2010 George Albert Montes, Registered Principal of Walnut Creek, CA Fined and Suspended 03/15/2010 Melvin Lee Peterson, Registered Principal of Pacifica, CA Fined and Suspended 03/15/2010 Steven William Sauer, Registered Rep of Dublin, CA Barred 03/15/2010 Dennis Dale Bailey,Registered Rep of Highlands Ranch, CO Suspended 03/15/2010 Gary Thomas Armitage, Registered Principal of Healdsburg, CA Update - Barred 03/15/2010 Chi Tu Chow, Registered Rep of Boulder, CO Fined and Suspended 03/15/2010 Francisco P. Esparza, Registered Rep of Tustin Ranch, CA Fined and Suspended 03/15/2010 Juan Gustavo Espinoza, Registered Rep of Novato, CA Fined and Suspended 03/15/2010 James William Geis, Registered Rep of Mission Viejo, CA Barred 03/15/2010 Jeffrey Alan Gielau, Registered Rep of Anaheim Hills, CA Fined and Suspended 03/15/2010 Rani Tarek Jarkas, Registered Principal of San Francisco, CA Fined and Suspended 03/15/2010 Bornhoft Group Securities Corporation, of Denver, CO Censured and Fined 03/15/2010 Man accused of masterminding mortgage fraud is denied bail reduction Pacific Wealth Management, Stonewood Consulting and Total Return Fund Update 03/11/2010 TV tax man pleads guilty to $13.5 Million Ponzi scheme William Murray of Sacramento, CA 03/09/2010 Renton couple's suit claims Kirkland broker cost them life savings Bread & Associates Wealth Management Update 03/09/2010 Federal Court Orders California Man to Pay More than $20.3 Million in CFTC Commodity Options Fraud Action David Michael Kogan and His Company, First Capitol Futures Group 03/09/2010 Kirkland securities broker, target of probe, tries to sell jewelry Rhonda Breard, under investigation for securities fraud, attempted to sell a large amount of jewelry, leaving attorneys for her alleged victims worried about recovering money for their clients 03/08/2010 Local Broker To Pay $1.95M To Settle Fraud Case First Allied Securities Inc. failed to reasonably supervise its former broker, Harold J. Jaschke 03/08/2010 Popular Eastside broker Rhonda Breard under investigation for fraud State Officials are urging previous customer to contact them 03/01/2010 Former Medical Manager execs guilty of fraud John Kang of Trabuco Canyon, CA & John Sessions, of Myrtle Beach, SC 03/01/2010 FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private Placement Chief executive officer, Terry Roussel, suspended 02/28/2010 James Jonathon Fraser Buchanan,Registered Rep of Phoenix,AZ Barred 02/28/2010 John Bradley Carter, Registered Principal of Aurora, CO Barred 02/28/2010 Donald Raymond Dunakin III, Registered Rep of El Dorado, CA Barred 02/28/2010 Jeffrey Allan Forrest, Registered Principal of San Louis Obispo, CA Barred 02/28/2010 Sally Jean Gray, Registered Rep of Bellevue,WA Barred 02/28/2010 Robin Emily Katz, Registered Rep of Portland, OR Barred 02/28/2010 Brett Sterling Kleese, Registered Principal of Mesa, AZ Barred 02/28/2010 Jeannette J. Martens, Registered Rep of San Juan Capistrano,CA Fined and Suspended 02/28/2010 David Roger Miller, Registered Rep of Edmonds,WA Barred 02/28/2010 Gerald David Morales, Registered Rep of Seattle,WA Fined and Suspended 02/28/2010 Gary Nelson, Registered Rep of Las Vegas, NV Suspended 02/28/2010 Ramon Oller, Registered Rep of Laguna Niguel, CA Suspended and Fined 02/28/2010 Max Jack Safdie, Registered Principal of Mill Valley, CA Suspended 02/28/2010 Grant Thomas Weiss, Registered Rep of Penn Valley, CA Fined and Suspended 02/28/2010 Firms Suspended for Failure to Supply Financial Information Pursuant to FINRA Rule 9552 Provident Update!! 02/28/2010 CFTC Imposes a $1 Million Penalty on California Resident for Commodity Pool Fraud Craig A. Riley and His Firm, Pressio Capital Management, LP 02/18/2010 Motion outlines millions sought in fraud case Mark DuBoise,of Corona, CA, and a company he formed called Midwestern and Ray L. Leonard Jr.,of Rancho Santa Margarita,CA 02/07/2010 Bank of America, Former Execs Face Civil Fraud Charges Kenneth Lewis and Joseph Price, the bank’s former chief executive and financial officer, respectively 02/06/2010 Randall Charles Barker, Registered Rep of Montrose, CO Barred 01/31/2010 Jeffery Michael Engler, Registered Rep of Marana, AZ Barred 01/31/2010 Douglas Milton Lounsbury, Registered Rep of Long Beach, CA Suspended and Fined 01/31/2010 James Whitfield Robison, Registered Rep of Clovis, CA Barred 01/31/2010 Ralph Matthew Shino, Registered Principal of Scottsdale, AZ Suspended 01/31/2010 Kale Edgar Evans, Registered Supervisor of San Diego, CA Barred 01/31/2010 Robert Lee Mandeville, Registered Rep of Newport Beach, CA Suspended and Fined 01/31/2010 David Laifer, Registered Rep of Gold Canyon, AZ Named in a FINRA Complaint alleging wrong doing 01/31/2010 Inland financial adviser accused of fraud ordered to stand trial Holly Gunnette 01/31/2010 Kalispell, Montana man charged with securities fraud Donald Chouinard 01/31/2010 Ponzi trial may stay in Grand Junction, CO Philip Rand Lochmiller of Valley Investments - UPDATE 01/27/2010 MEDCAP UPDATE!!! MA Regulators charge broker in $697m notes sale - State alleges clients not warned of risks 01/27/2010 Ponzi Scheme Victims Need to File Claim Daren Palmer ran $68 Million Scheme 01/26/2010 Financial planner’s commissions allegedly from illegal plan transfers Brian P. Troy of Keller, Texas Suspended until investigaiton complete 01/07/2010 S.C. broker-dealer guilty of fraud linked to Ponzi scheme Oren Eugene Sullivan admitted in court, from 1995 through 2008 he ran the Scam 01/06/2010 Current | 2011 | 2010

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