Christopher Andrew Carra (CRD #2214509, Registered Representative, Deerfield Beach,Florida) was fined $20,000 and suspended from association with any FINRA member in any capacity for one year. Without admitting or denying FINRA's findings, Carra consented to the described sanctions and to the entry of findings that he attempted to procure investment banking and consulting business from […]

Myrron Marcos Martinez (CRD #4369254, Registered Representative, Sarasota, Florida) was fined $5,000 and suspended from association with any FINRA member in any capacity for four months. Without admitting or denying the findings, Martinez consented to the described sanctions and to the entry of findings that he participated in an outside business activity without providing his […]

Stanley Neil Crooms (CRD #852539, Registered Representative, St. Petersburg, Florida) was barred from association with any FINRA member in any capacity. Crooms consented to the described sanction and to the entry of findings that he failed to provide all of the information FINRA requested as part of an investigation into the allegations that he had […]

David Louis Bocchino (CRD #3168609, Registered Representative, Bradenton, Florida) was fined $7,500, which includes disgorgement of $2,850 in commissions, and suspended from association with any FINRA member in any capacity for three months. Without admitting or denying the findings, Bocchino consented to the described sanctions and to the entry of findings that he became licensed […]

  Randy Craig Hester (CRD #1382578, Registered Representative, Highland Park, Illinois)   was censured, fined $5,000 and suspended from association with any member firm in any capacity for one year. The fine must be paid either immediately upon Hester’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any […]

In a press-release dated July 2nd, 2012, from their website, The Financial Industry Regulatory Authority (FINRA) announced a pilot program specifically designed for large arbitration cases for claims of $10 million or more. This program enables parties to customize the administrative process to better suit special needs of the larger case and allows them to bypass certain FINRA […]

  Gary Lee Cousino (CRD #726486, Registered Representative, Mackinac Island, Michigan)   has been barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Cousino consented to the described sanction and to the entry of findings that he failed to respond to FINRA requests for information regarding its investigation of […]

 Joel William Carlson (CRD #2844760, Registered Representative, Vadnais Heights, Minnesota)  was barred from association with any FINRA member in any capacity. Carlson consented to the described sanction and to the entry of findings that he solicited his member firm’s customers to give him a total of at least $734,000, fraudulently misrepresenting to the customers that he would […]

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 […]