The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.” David Darrell Anthony (CRD #4671195, Registered Representative, Mobile, Alabama) was fined $7,500 and suspended from association with any FINRA member in any capacity for six months. Without admitting or denying the allegations, Anthony consented to the described sanctions and to […]

Michael John Hester (CRD #3044429, Registered Representative, Tampa, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Hester consented to the described sanction and to the entry of findings that he engaged in a private securities transaction by accepting checks totaling $20,000 from individuals to purchase […]

David Marasek (CRD #2866848, Registered Representative, Boca Raton, Florida) 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 10 business days. Without admitting or denying the findings, Marasek consented to the described sanctions and to the entry of […]

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, February 2012.”   Paul Cragg Larsen (CRD #1066833, Registered Representative, Naples, Florida) and   Quentin Marius Silic (CRD #4222363, Registered Representative, Naples, Florida)   submitted a Letter of Acceptance, Waiver and Consent in which they were each barred from association with any FINRA member in […]