A disproportionate number of embezzlement cases involving registered securities agents pursued by the Office of the Kansas Securities Commissioner have originated from one to two person office locations. The following is a list of criminal actions filed by the Office of the Kansas Securities Commissioner in the last ten years involving registered securities agents. The data reflects that a disproportionate number have originated from one or two person office locations.
|
Date of Disposition |
Agent |
Broker-Dealer |
Amount of Loss |
Size of Office |
|
3/3/89 |
Donald Meyer |
Pruco |
$95,142 |
1 |
|
4/12/89 |
James Spencer |
Pruco |
$85,000 |
1-2 |
|
5/15/89 |
John Duncan |
Waddell & Reed, Inc. |
$618,799 |
1 |
|
5/8/91 |
Mark Anthony Young |
EQICO |
$104,485 |
1 |
|
5/16/91 |
Jon Logan |
Waddell & Reed |
$127,484 |
1 |
|
8/28/91 |
Gerald Overton |
Columbian Securities |
$557,798 |
10+ |
|
5/20/92 |
Al Hyer |
Hyer, Bikson & Henson |
$80,000 |
2 |
|
10/19/92 |
Jim Bauer |
Securities America |
$361,000 |
1 |
|
5/13/93 |
Brad Holiday |
Pruco |
$5,000 |
1 |
|
4/19/95 |
Larry Wayne Lewis |
Sun America |
$14,500 |
10 |
|
6/12/95 |
Don Childers |
VSR Financial Services |
$10,250 |
1 |
|
9/7/95 |
Cindy Ruddy |
IDS/American Express Financial Services |
$36,263 |
8-10 |
|
10/31/95 |
Mark Sigurdson |
Linsco Private Ledger/ Affiliated Financial Services |
$671,135 |
1 |
|
3/14/97 |
Robin Yessen |
Edward D. Jones |
$490,811 |
1 |
|
5/29/97 |
John Jay Coleman |
Walnut Street Securities |
$6,282 |
1 |
|
9/17/97 |
James Randazzo |
FBD Investments |
$27,335 |
4 |
|
9/24/97 |
Steven Wages |
B.C. Christopher |
$88,863 |
4 |
|
10/15/97 |
Bobby Hsia |
G.R. Phelps |
$307,305 |
2 |
|
4/16/98 |
Asif Ameen |
Primeline Securities |
$275,000 $1,700,000 Total |
4-5 |
|
6/16/94; 5/23/98 |
Mark Cook |
North America Financial Investacorp., Inc. / First Affiliated Securities |
$190,000 $14,300 |
1 |
|
7/16/98 |
Jeffrey Lee |
Chapman Securities |
$146,000 |
12 |
|
8/5/98 |
Allen Bodily |
First American Capital |
$62,500 |
1 |
|
Currently a Fugitive |
Ebrima Jeng |
Pruco |
$31,871 |
Total cases 23
Total cases 1-2 person offices 16 (70% of total)
Total loss $6,372,123
Total loss 1-2 person offices $3,526,364 (55% of total)