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Tuesday, April 04, 2006 10:19:19 PM
Thomas Carter RONK (CRD#2293671, Registered Representative,
Corona Del Mar, California)
submitted a Letter of
Acceptance, Waiver, and Consent
pursuant to which he was censured,
fined $50,000, and suspended
from association with any NASD
member in any capacity for 30
days. Without admitting or denying
the allegations, RONK consented to
the described sanctions and to the
entry of findings that he participated
in private securities transactions
without providing prior written
notice to his member firm describing
the proposed transactions and
his proposed role therein. (NASD
Case #C02990057)
RONK, Thomas C.Individuals Revoked For
Failing To Pay Fines And/Or
Costs In Accordance With
NASD Rule 8320
Corona Del Mar, California
Individuals Revoked For
Failing To Pay Fines And/Or
Costs In Accordance With
NASD Rule 8320
Biddick, Bruce
Rancho Santa Fe, California
(February 8, 2002)
Chepak, John A.
West Harrison, New York
(February 8, 2002)
Flynn, Scott D.
Highlands, New Jersey
(February 8, 2002)
Gerace, Joseph G.
S. Laguna, California
(February 8, 2002)
RONK, Thomas C.
Corona Del Mar, California
(February 8, 2002)
Sitomer, Richard A.
New York, New York
(February 8, 2002)
Waddell, Charles K.
Oklahoma City, Oklahoma
(February 8, 2002)
http://www.nasd.com/web/groups/enforcement/documents/monthly_disciplinary_actions/nasdw_007466.pdf
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