California Stockbroker Discipline Report for November 2009

The following information regarding broker misconduct and disciplinary activities taken against California stockbrokers was released by the Financial Industry Regulatory Authority (FINRA) in November 2009:

Lisa Ann Tomiko Nouchi of Fairfield, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $10,000 for allegedly entering inaccurate and false customer information while she was employed at UBS Financial Services.

Marc Winters of Chatsworth, California, was suspended from association with any FINRA member in any capacity for 90 days and fined $19,882 for allegedly entering inaccurate and false customer information while he was employed at UBS Financial Services.

Gary Thomas Armitage who is the principal of AGA Financial and was formerly with ePLANNING Securities, Inc. in Roseville, California, was named in a complaint filed by FINRA alleging unauthorized transactions in customer accounts and participating in unreported private securities transactions.