Brent Robert Bishop (CRD #2348912, Registered Principal, Tulsa, Oklahoma) has been barred from association with any FINRA member in any capacity and ordered to pay restitution in the total amount of $58,000, plus interest, to customers. These sanctions were based on FINRA's findings that Bishop misappropriated funds from his member firm’s customers by intentionally converting $40,000 […]

  BGC Financial, L.P. (CRD #19801, New York, New York) was censured and fined $40,000 by FINRA. Without admitting or denying the findings, the firm consented to the described sanctions and to the entry of findings that it permitted a disqualified individual to associate with the firm without regulatory approval. These findings stated that the firm […]

Daniel Edward Becerril II (CRD #4489715, Registered Representative, Huntington Beach, California) has been barred from association with any FINRA member in any capacity and this sanction was based on FINRA's findings that Becerril made willful misrepresentations and omissions to his customer by telling her that he would invest an $11,500 inheritance in a mutual fund, when […]

Milton Charles Ault III (CRD #2157788, Registered Principal, Fountain Valley, California) was fined $75,000, he was suspended from association with any FINRA member in any capacity for two years and Ault was ordered to pay $312,916.06, plus interest, in restitution to investors. This fine must be paid either immediately upon Ault’s reassociation with a FINRA […]

  Alan Jay Davidofsky (CRD #1389312, Registered Representative, Delray Beach, Florida) has been fined by FINRA in the amount of $11,741.78, which represents disgorgement, and he has been barred from association with any FINRA member in any capacity. These sanctions were based on the findings that Davidofsky made unauthorized transactions in his customer’s account, controlled the customer’s […]

Enrique Roy (CRD #5339904, Registered Representative, Miami Beach, Florida)  has been barred from association with any FINRA member in any capacity. This FINRA sanction was based on their findings that Enrique Roy failed to respond to requests from FINRA for information about an outside brokerage account at a member firm he had opened on a customer’s […]

Alison Marie Janke (CRD #4409155, Registered Representative, Port Richey, Florida) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the findings, Janke consented to the described sanctions. According to FINRA's findings, she borrowed $100,000 from a customer which was based upon a personal […]

 Jeffrey Wayne Cimbal (CRD #2028791, Registered Principal, Parkland, Florida)  has been fined $20,000 and suspended from association with any FINRA member in any principal capacity for five months. Without admitting or denying the findings, Cimbal consented to the described sanctions and to the entry of findings that he served as his member firm’s CCO, and for […]

  Corey Lamar Battey (CRD #4123425, Registered Representative, Clermont, Florida) was fined $5,000 and has ben suspended from association with any FINRA member in any capacity for six months. This fine will be due and payable if and when Battey re-enters the securities industry. These sanctions were based on FINRA's findings that Battey failed to respond to […]