http://rightsforinvestors.com/blog Securities Fraud Attorneys and Investment Fraud Lawyers of Goodman & Nekvasil, P.A. is a Law Firm that offers litigation services and files lawsuits to recover investor lost money due to securities or investment fraud or mismanagement.. Thu, 22 Sep 2011 15:29:01 +0000 http://backend.userland.com/rss092 en Peter Joseph Brandstaetter (CRD # 3206399, Registered Representative, Chicago, Illinois) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $20,000 and suspended from association with any FINRA member in any capacity for 10 business days. Without admitting or denying the findings, Brandstaetter consented to the described ... http://rightsforinvestors.com/blog/2011/09/22/brandstaetter-peter-joseph/ Connie Hong Tao Zhao (CRD # 4592497, Registered Representative, Fresh Meadows, New York) submitted a Letter of Acceptance, Waiver and Consent in which she was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Zhao consented to the described sanction and to the ... http://rightsforinvestors.com/blog/2011/04/28/zhao-connie-hong-tao/ Robert John Zamecki (CRD # 475757, Registered Principal, Carmel, California) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $12,500 and suspended from association with any FINRA member in any principal capacity for 30 business days. Without admitting or denying the findings, Zamecki consented to the ... http://rightsforinvestors.com/blog/2011/04/28/zamecki-robert-john/ Marilyn Louise Yamanaka (CRD # 2650202, Registered Representative, Clovis, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $5,000 and suspended from association with any FINRA member in any capacity for eight months. In light of Yamanaka’s financial status, a $5,000 fine was imposed. The ... http://rightsforinvestors.com/blog/2011/04/28/yamanaka-marilyn-louise/ Andrew Thomas Wrigley (CRD # 4820238, Registered Representative, Fair Haven, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and suspended from association with any FINRA member in any capacity for one month. Without admitting or denying the findings, Wrigley consented to the ... http://rightsforinvestors.com/blog/2011/04/28/wrigley-andrew-thomas/ Mahmood Hasan Usmani, (CRD # 5727193, Associated Person, Bartlett, Tennessee) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity and ordered to disgorge $24,286.67 in unlawful profits. Without admitting or denying the findings, Usmani consented to the ... http://rightsforinvestors.com/blog/2011/04/28/usmani-mahmood-hasan/ Daniel J. Trolaro (CRD # 4260690, Registered Representative, Oakland, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Trolaro consented to the described sanction and to the entry of ... http://rightsforinvestors.com/blog/2011/04/28/trolaro-daniel-j/ Jenny Quyen Ta (CRD # 2538602, Registered Principal, Westminster, California) submitted a Letter of Acceptance, Waiver and Consent in which she was fined $10,000 and suspended from association with any FINRA member in any capacity for one year. The fine must be paid either immediately upon Ta’s reassociation with a ... http://rightsforinvestors.com/blog/2011/04/28/ta-jenny-quyen/ Larrye Alfie Smith (CRD # 1131839, Registered Principal, Miami, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was censured, fined $7,500 and suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Smith’s reassociation with ... http://rightsforinvestors.com/blog/2011/04/28/smith-larrye-alfie/ Robert Charles Pollock (CRD # 4490116, Registered Representative, Palm Harbor, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was fined $94,650, which includes disgorgement of $34,650 in commissions, suspended from association with any FINRA member in any capacity for one year, and ordered to pay $76,922, ... http://rightsforinvestors.com/blog/2011/04/28/pollock-robert-charles/