Richard A. Sampley of Atlanta was suspended for three months for participating in private securities transactions without providing prior written notice to, or obtaining approval from, his firm.
Matthew Clary Smith of Spartanburg, S.C., was suspended for three months for having clients sign undated or blank forms.
Joseph P. Canciglia III of Hillsdale, N.J., was suspended for 30 days for exercising discretion in four accounts belonging to two clients without written authorization from the clients and without approval and acceptance of the accounts as discretionary from his firm.
Letters of admonition were issued to the following:
Brian D. Havermann of Arvada, Colo.
Gregory W. Kearney of Fairfield, Conn.
Stephen D. Ostrofsky of Boca Raton, Fla.
Michael L. Bohannon of Sikeston, Mo.
Scott Everhart of Dublin, Ohio
Matthew Romeo of Dublin, Ohio
Larry W. Farmbry of Bala Cynwyd, Pa.
Paul E. Ferraresi of Bellaire, Texas