California Stockbroker Discipline Report for December 2009

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

Dean Jay Addinanti formerly of Wells Fargo Advisors, LLC and A.G. Edwards & Sons, Inc. in Torrance, California, was fined and suspended from association with any FINRA member in any capacity for 60 days for allegedly conducting unauthorized transactions in customer accounts.

Stephen Crai Keifner formerly of First Allied Securities, Inc. and A.G. Edwards & Sons, Inc. in Ventura and Oxnard, California, was barred from association with any FINRA member in any capacity for allegedly engaging in unauthorized trades in customer accounts, making unsuitable recommendations and altering customer account documentation.