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Distinguished Toastmaster
BUSINESS & BRANDING COACH . LIFE & LEADERSHIP STRATEGIST MOTIVATIONAL SPEAKER SERVING ENTREPRENEURS & MAIN STREET |
PRESIDENT OBAMA RELEASED 104 FELONS WHO SERVED THEIR TIME WHILE WALL STREET CRIMINALS STAYED OUT OF JAIL ON THE STREETS VOTING
1.PRESIDENT OBAMA 10-6-2016 COMMUTANT (July 25, 2006) Anthony Anderson – Trenton, TN Southern District of Indiana Sentence: 240 months' imprisonment; 10 years' supervised release Offense: Conspiracy to possess with intent to distribute and to distribute in excess of 50 grams of a mixture or substance containing cocaine base, and in excess of five kilograms of a mixture or substance containing cocaine;
FINRA/NASD ENFORCEMENT (NASD Case #20050017770-02) (July 2006) Suzette Marine Francis (CRD #4305137, Registered Representative, Queens, New York) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any NASD member in any capacity. Without admitting or denying the findings, Francis consented to the described sanction and to the entry of findings that she forged public customers’ signatures on banking applications, including credit card applications and applications for lines of credit. The findings stated that Francis failed to respond to NASD requests for information.
2.PRESIDENT OBAMA 10-6-2016 COMMUTANT (July 2, 2009) Martavious Devonn Anderson – High Point, NC Sentence: 262 months' imprisonment; 10 years' supervised release Offense: Conspiracy to distribute cocaine base (crack); Middle District of North Carolina
FINRA/NASD ENFORCEMENT (July 2009) (FINRA Case #2007008208701) David Supercinski (CRD #11 254 10 , Registered Representative, Aledo, Texas) was named as a respondent in a FINRA complaint alleging that he forged customers’ signatures to variable annuity applications and other documents without their prior knowledge or consent. The complaint alleges that, without the customer’s prior knowledge or consent , Supercinski falsified documentation, which resulted in an unauthorized transfer of assets and in the purchase of a variable annuity for a customer, where he was identified on the variable annuity statement as the representative. The complaint also alleges that Supercinski failed to respond to FINRA requests for information and documents , and to appear for an on-the-record interview .
3.PRESIDENT OBAMA 10-6-2016 COMMUTANT (December 21, 2005)· Norwood Wallace Barber, Jr. – Harrisonburg, VA Sentence: Life imprisonment; 10 years' supervised release; $2,500 fine Offense: Conspiracy to distribute cocaine base; Western District of Virginia
FINRA/NASD ENFORCEMENT (December 2005) (NASD Case #2005000308802) Paul R. Hunt (CRD #4304579, Registered Representative, Greenville, North Carolina) submitted an Offer of Settlement in which he was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Hunt consented to the described sanction and to the entry of findings that he effected transactions in public customers’ accounts without their prior knowledge or authorization. The findings stated that Hunt failed to respond to NASD requests for information.
4.PRESIDENT OBAMA 10-6-2016 COMMUTANT (March 22, 2004)· Shawn Leo Barth – Bismarck, ND Sentence: Life plus 60 months’ imprisonment; 10 years' supervised release Offense: Conspiracy to possess with intent to distribute methamphetamine; possession of a controlled substance with intent to distribute methamphetamine; distribution of a controlled substance methamphetamine; possession with intent to distribute a controlled substance marijuana; possession of a firearm in furtherance of a drug trafficking crime; felon in possession of a firearm/ammunition; District of North Dakota
FINRA/NASD ENFORCEMENT (March 2004) (NASD Case #C07040010) Dave Randall Smith (CRD #4151393, Registered Representative, Merritt Island, Florida) submitted a Letter of Acceptance, Waiver, and Consent in which he was barred from association with any NASD member in any capacity. Without admitting or denying the allegations, Smith consented to the described sanction and to the entry of findings that he made improper use of public customers’ funds given to him for investment purposes.
5.PRESIDENT OBAMA 10-6-2016 COMMUTANT (October 1, 2007)· Ronald Baskin – Madison, WI Sentence: 262 months' imprisonment; eight years' supervised release Offense: Possession with intent to distribute five grams or more of cocaine base (crack cocaine); Western District of Wisconsin
FINRA/NASD ENFORCEMENT (October 2007) (FINRA Case#20 05002 593 0) ,Carolyn Sue Everhard (C RD #2344119, Registered Representative, Cincinnati, Ohio) Was barred from association with any FINRA member in any capacity. The sanction was based on findings that Everhard received $6,400 from a public customer for investment purposes and converted the funds to her own use and benefit without the customer’s knowledge, authorization or consent. The findings stated that Everhard failed to fully Respond in a timely manner to FINRA requests for information.