fine.01
frames- [ARG2 Biscayne Securities Corp. , of Lauderhill , Fla. , and a principal of the firm , Alvin Rosenblum of Plantation , Fla. ,] were [ARGM-MNR jointly] [rel fined] *-1 [ARG1 $ 20,000 *U*] and given *-1 10-day suspensions for [ARG3-for * allegedly selling securities at unfair prices] .
- Two firms were expelled *-150 from the NASD , three were suspended or barred *-1 and [ARG2 nine] were [rel fined] *-151 .
- [ARG2 Triton Securities , of Danville , Calif. , and a principal of the firm , Delwin George Chase , also of Danville ,] were [ARGM-MNR jointly] [rel fined] *-1 [ARG1 $ 10,000 *U*] and given *-1 30-day suspensions [ARGM-ADV as part of a settlement] .
- [ARG2 First Securities Group of California and a principal of the firm , Louis Fernando Vargas of Marina del Rey , Calif. ,] were [ARGM-MNR jointly] [rel fined] *-1 [ARG1 $ 15,000 *U*] and expelled *-1 for [ARG3-for alleged violations of reporting requirements on securities sales] .
- [ARG2 W.N. Whelen & Co. , of Georgetown , Del. , and its president , William N. Whelen Jr. , also of Georgetown ,] were barred *-1 from *-2 transacting principal trades for 90 days and were [ARGM-MNR jointly] [rel fined] *-1 [ARG1 $ 15,000 *U*] .
- [ARG2 The following individuals] were [rel fined] *-2 [ARGM-ADV as * indicated *-1] and barred *-2 from association with NASD members , or , where * noted *-3 *T*-4 , suspended *-2 .
- Andrew Derel Adams , Killeen , Texas , fined *-1 $ 15,000 *U* ; John Francis Angier Jr. , Reddington Shores , Fla. , $ 15,000 *U* ; Mark Anthony , Arlington Heights , Ill. , $ 10,000 *U* and 30-day suspension ; William Stirlen , Arlington Heights , Ill. , $ 7,500 *U* and 30-day suspension ; Fred W. Bonnell , Boulder , Colo. , $ 2,500 *U* and six-month suspension ; Michael J. Boorse , Horsham , Pa. ; David Chiodo , Dallas , $ 5,000 *U* , barred *-3 as a principal ; Camille Chafic Cotran , London , $ 25,000 *U* ; [ARG2 John William Curry] , [rel fined] *-4 [ARG1 $ 5,000 *U*] , ordered *-4 *-2 to disgorge $ 30,000 *U* , one-year suspension .
- [ARG2 Andrew Derel Adams , Killeen , Texas] , [rel fined] *-1 [ARG1 $ 15,000 *U*] ; John Francis Angier Jr. , Reddington Shores , Fla. , $ 15,000 *U* ; Mark Anthony , Arlington Heights , Ill. , $ 10,000 *U* and 30-day suspension ; William Stirlen , Arlington Heights , Ill. , $ 7,500 *U* and 30-day suspension ; Fred W. Bonnell , Boulder , Colo. , $ 2,500 *U* and six-month suspension ; Michael J. Boorse , Horsham , Pa. ; David Chiodo , Dallas , $ 5,000 *U* , barred *-3 as a principal ; Camille Chafic Cotran , London , $ 25,000 *U* ; John William Curry , fined *-4 $ 5,000 *U* , ordered *-4 *-2 to disgorge $ 30,000 *U* , one-year suspension .
- John William Davis , Colonsville , Miss. , fined *-4 $ 200,000 *U* ; Jeffrey Gerard Dompierre , Valrico , Fla. , $ 5,000 *U* and 10-day suspension ; [ARG2 Eugene Michael Felten , La Canada , Calif.] , [rel fined] *-3 [ARG1 $ 25,000 *U*] , ordered *-3 *-2 to disgorge $ 16,072 *U* and suspended *-3 one year ; Marion Stewart Spitler , La Canada , fined *-5 $ 15,000 *U* , ordered *-5 *-1 to disgorge $ 18,444 *U* and suspended *-5 six months .
- John William Davis , Colonsville , Miss. , fined *-4 $ 200,000 *U* ; Jeffrey Gerard Dompierre , Valrico , Fla. , $ 5,000 *U* and 10-day suspension ; Eugene Michael Felten , La Canada , Calif. , fined *-3 $ 25,000 *U* , ordered *-3 *-2 to disgorge $ 16,072 *U* and suspended *-3 one year ; [ARG2 Marion Stewart Spitler , La Canada ,] [rel fined] *-5 [ARG1 $ 15,000 *U*] , ordered *-5 *-1 to disgorge $ 18,444 *U* and suspended *-5 six months .
- [ARG2 John William Davis , Colonsville , Miss.] , [rel fined] *-4 [ARG1 $ 200,000 *U*] ; Jeffrey Gerard Dompierre , Valrico , Fla. , $ 5,000 *U* and 10-day suspension ; Eugene Michael Felten , La Canada , Calif. , fined *-3 $ 25,000 *U* , ordered *-3 *-2 to disgorge $ 16,072 *U* and suspended *-3 one year ; Marion Stewart Spitler , La Canada , fined *-5 $ 15,000 *U* , ordered *-5 *-1 to disgorge $ 18,444 *U* and suspended *-5 six months .
- [ARG2 Victor Stanley Fishman , Longwood , Fla.] , [rel fined] *-1 [ARG1 $ 25,000 *U*] ; William Harold Floyd , Houston , $ 100,000 *U* ; Michael Anthony Houston , Bronx , N.Y. , $ 15,000 *U* ; Amin Jalaalwalikraam , Glenham , N.Y. , $ 60,000 *U* ; Richard F. Knapp , London , $ 10,000 *U* and 30-day suspension ; Deborah Renee Martin , St. Louis , $ 15,000 *U* ; Joseph Francis Muscolina Jr. , Palisades Park , N.J. , $ 15,000 *U* ; Robert C. Najarian , Brooklyn Park , Minn. , $ 15,000 *U* ; Edward Robert Norwick , Nesconset , N.Y. , $ 30,000 *U* .
- Charles D. Phipps Sr. , Hermitage , Pa. , fined *-1 $ 10,000 *U* ; David Scott Rankin , Lake St. Louis , Mo. , $ 15,000 *U* ; [ARG2 Leigh A. Sanderoff , Gaithersburg , Md. ,] [rel fined] *-2 [ARG1 $ 45,000 *U*] , ordered *-2 *-3 to disgorge $ 12,252 *U* ; Sandra Ann Smith , Ridgefield , N.J. , $ 15,000 *U* ; James G. Spence , Aloha , Ore. , $ 5,000 *U* and six-month suspension ; Mona Sun , Jamaica Estates , N.Y. , $ 60,000 *U* ; William Swearingen , Minneapolis , $ 15,000 *U* and six-month suspension ; John Bew Wong , San Francisco , $ 25,000 *U* ; Rabia M. Zayed , San Francisco , $ 50,000 *U* .
- [ARG2 Charles D. Phipps Sr. , Hermitage , Pa. ,] [rel fined] *-1 [ARG1 $ 10,000 *U*] ; David Scott Rankin , Lake St. Louis , Mo. , $ 15,000 *U* ; Leigh A. Sanderoff , Gaithersburg , Md. , fined *-2 $ 45,000 *U* , ordered *-2 *-3 to disgorge $ 12,252 *U* ; Sandra Ann Smith , Ridgefield , N.J. , $ 15,000 *U* ; James G. Spence , Aloha , Ore. , $ 5,000 *U* and six-month suspension ; Mona Sun , Jamaica Estates , N.Y. , $ 60,000 *U* ; William Swearingen , Minneapolis , $ 15,000 *U* and six-month suspension ; John Bew Wong , San Francisco , $ 25,000 *U* ; Rabia M. Zayed , San Francisco , $ 50,000 *U* .
- The following *ICH*-2 were neither barred nor suspended *-1 : [ARG2 Stephanie Veselich Enright , Rolling Hills , Calif. ,] [rel fined] *-3 [ARG1 $ 2,500 *U*] and ordered *-3 *-4 to disgorge $ 11,762 *U* ; Stuart Lane Russel , Glendale , Calif. , fined *-5 $ 2,500 *U* and ordered *-5 *-6 to disgorge $ 14,821 *U* ; Devon Nilson Dahl , Fountain Valley , Calif. , fined *-7 $ 82,389 *U* .
- The following *ICH*-2 were neither barred nor suspended *-1 : Stephanie Veselich Enright , Rolling Hills , Calif. , fined *-3 $ 2,500 *U* and ordered *-3 *-4 to disgorge $ 11,762 *U* ; [ARG2 Stuart Lane Russel , Glendale , Calif. ,] [rel fined] *-5 [ARG1 $ 2,500 *U*] and ordered *-5 *-6 to disgorge $ 14,821 *U* ; Devon Nilson Dahl , Fountain Valley , Calif. , fined *-7 $ 82,389 *U* .
- The following *ICH*-2 were neither barred nor suspended *-1 : Stephanie Veselich Enright , Rolling Hills , Calif. , fined *-3 $ 2,500 *U* and ordered *-3 *-4 to disgorge $ 11,762 *U* ; Stuart Lane Russel , Glendale , Calif. , fined *-5 $ 2,500 *U* and ordered *-5 *-6 to disgorge $ 14,821 *U* ; [ARG2 Devon Nilson Dahl , Fountain Valley , Calif. ,] [rel fined] *-7 [ARG1 $ 82,389 *U*] .
- [ARG2 J.L. Henry & Co. , Miami , and a principal of the firm , Henry I. Otero of Miami ,] were [ARGM-MNR jointly] [rel fined] *-1 [ARG1 $ 30,000 *U*] and expelled *-1 , for [ARG3-for alleged improper use of a customer 's funds , among other things] .
- Meanwhile , inside the courtroom , the judge said 0 [ARG0 he] [ARGM-MOD would] [rel fine] [ARG2 attorneys for the two creditors] [ARG1 $ 50 *U*] [ARGM-TMP every time 0 they referred to each other with terms such as `` liar '' or `` slime *T*-1] . ''
- [ARG2 The company] [ARGM-MOD could] be [rel fined] *-1 [ARG1 a maximum of $ 10,000 *U* , or double the profit] .
- Few now recall the actual outcome : [ARG2 Scopes] was convicted *-2 and [rel fined] *-2 [ARG1 $ 100 *U*] , and his conviction was reversed *-1 on appeal because the fine was excessive under Tennessee law .
- [ARG2 TV evangelist Jim Bakker] was sentenced to 45 years in prison and [rel fined] [ARG1 $ 500,000 *U*] for [ARG3-for *-1 defrauding followers of his PTL ministry] .
- *-2 Confronted *-1 with the evidence , [ARG2 Mr. Tharp] pleaded guilty to one charge of *-2 filing a false return and was [rel fined] *-2 [ARG1 $ 5,000 *U*] and sentenced *-2 to 18 months in prison .
- The Chicago Mercantile Exchange said 0 [ARG0 it] [rel fined] [ARG2 Capcom Futures Inc.] [ARG1 $ 500,000 *U*] and accepted its withdrawal from membership [ARGM-ADV as part of a settlement of disciplinary actions against the firm] .
- [ARGM-ADV If *-1 convicted *-2] , [ARG2 he] [ARGM-MOD could] be imprisoned *-1 [ARGM-TMP for up to 10 years] and [rel fined] *-1 [ARG1 $ 250,000 *U*] .
- [ARG2 Japanese air-conditioner maker Daikin Industries Ltd.] was [rel fined] *-1 [ARG1 two million yen -LRB- $ 14,000 *U* -RRB-] for [ARG3-for * exporting to the Soviet Union a chemical solution that *T*-3 could be used *-2 in missile-guidance systems] .
- [ARG0 The Chicago Mercantile Exchange] [rel fined] and suspended [ARG2 two commodities traders accused *-2 of * making prearranged trades *ICH*-1 with each other that *T*-3 allegedly cheated a customer] .
- [ARG0 The Merc] [rel fined] [ARG2 Mr. Roberts] [ARG1 $ 15,000 *U*] and suspended his trading membership for three years .
- [ARG2 Mr. Stein] was [rel fined] [ARG1 $ 25,000 *U*] and suspended for three years .
- [ARG2 E. Robert Wallach] was sentenced *-1 by a U.S. judge in New York to six years in prison and [rel fined] *-1 [ARG1 $ 250,000 *U*] for [ARG3-for his racketeering conviction in the Wedtech scandal] .
- [ARG2 Mr. Voss] was [ARGM-TMP previously] sentenced to four years in prison and [rel fined] [ARG1 $ 11,000 *U*] for [ARG3-for his role in the scheme] .