Barred: Joseph Morris Thurnherr Barred by FINRA

Barred

Joseph Morris Thurnherr Barred by FINRA

An AWC was issued in which Thurnherr was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Thurnherr consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with an investigation into allegations set forth in a customer-initiated arbitration against him.

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Barred: Boris Skorodumov Barred by FINRA

Barred

Boris Skorodumov Barred by FINRA

An AWC was issued in which Skorodumov was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Skorodumov consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony or otherwise cooperate with FINRA’s investigation into Form U5 disclosures made by his member firms.

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Barred: John Clifford Park Barred by FINRA

Barred

John Clifford Park Barred by FINRA

An AWC was issued in which Park was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Park consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with an investigation it began after it received his member firm’s Form U5.

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Barred: Paolo Assumpcao Monaco Barred by FINRA

Barred

Paolo Assumpcao Monaco Barred by FINRA

An AWC was issued in which Monaco was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Monaco consented to the sanction and to the entry of findings that he refused to appear for onthe-record testimony or otherwise cooperate with FINRA’s investigation into a disclosure reported on a Uniform Termination Notice for Securities Industry Registration (Form U5) submitted by his member firm.

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Barred: Martin David Batstone Barred by FINRA

Barred

Martin David Batstone Barred by FINRA

An Offer of Settlement was issued in which Batstone was barred from association with any FINRA member in all capacities. Without admitting or denying the allegations, Batstone consented to the sanction and to the entry of findings that he willfully violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5(a)-(c) thereunder, and violated FINRA Rule 2020 by transferring $11,100 in customer funds to his personal bank accounts and using the funds for his personal expenditures.

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Barred: Ronald Walter Hannes Barred by FINRA

Barred

Ronald Walter Hannes Barred by FINRA

An AWC was issued in which Hannes was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Hannes consented to the sanction and to the entry of findings that he refused to produce documents and information requested by FINRA during its investigation into allegations that he converted customer funds.

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Barred: Jeffrey Scott Nimmow Barred by FINRA

Barred

Jeffrey Scott Nimmow Barred by FINRA

An AWC was issued in which Nimmow was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Nimmow consented to the sanction and to the entry of findings that he engaged in the sale of promissory notes to investors totaling at least $3,365,000 without disclosing and receiving approval from his member firm.

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Barred: Ana Lucia Chavarriaga Barred by FINRA

Barred

Ana Lucia Chavarriaga Barred by FINRA

An AWC was issued in which Chavarriaga was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Chavarriaga consented to the sanction and to the entry of findings that she backdated documents and drafted false written statements that her member firm provided to FINRA in response to its requests for information. The findings stated that as the firm’s designated supervisor, Chavarriaga was responsible for reviewing and initialing the firm’s TRACE Quality of Markets Report Cards. Chavarriaga signed and backdated report cards and supplied them to the firm, which in turn provided them to FINRA.

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