| HARRINGTON FINANCIAL & ENERGY ADVISORS |
NFA 05BCC00006 |
NFA ID: 0312640 |
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| 0328648 | ADAMS, JASON MARK | 08/29/2005 | | 0317299 | GALLAGHER, WILLIAM JOSEPH | 08/29/2005 | | 0276030 | GELLER, ELAINE BARBARA | 07/03/2006 | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | 07/03/2006 | | 0341236 | KANEB, PETER W | 07/01/2005 | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | 08/29/2005 | | 0253631 | STERNFELD, GERRI | 07/03/2006 |
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| 0328648 | ADAMS, JASON MARK | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0317299 | GALLAGHER, WILLIAM JOSEPH | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | 0276030 | GELLER, ELAINE BARBARA | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | • C.R.2-29(a)(2) - HIGH PRESSURE COMM. PROHIBITED | | | | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | | | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0341236 | KANEB, PETER W | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | • C.R.2-29(a)(1) - FRAUDULENT COMM. TO PUBLIC PROHIB. | | | | • C.R.2-2(a) - CHEAT,FRAUD DECEIVE CUSTOMERS | | 0253631 | STERNFELD, GERRI | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0328648 | ADAMS, JASON MARK | • BUSINESS CONDUCT COMMITTEE | | 0317299 | GALLAGHER, WILLIAM JOSEPH | • BUSINESS CONDUCT COMMITTEE | | 0276030 | GELLER, ELAINE BARBARA | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE | | 0341236 | KANEB, PETER W | • BUSINESS CONDUCT COMMITTEE | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | • BUSINESS CONDUCT COMMITTEE | | 0253631 | STERNFELD, GERRI | • BUSINESS CONDUCT COMMITTEE | | | | • HEARING COMMITTEE |
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| 0328648 | ADAMS, JASON MARK | • SALES PRACTICE | | 0317299 | GALLAGHER, WILLIAM JOSEPH | • SALES PRACTICE | | 0276030 | GELLER, ELAINE BARBARA | • SALES PRACTICE | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | • GENERAL CONDUCT | | | | • SALES PRACTICE | | 0341236 | KANEB, PETER W | • SALES PRACTICE | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | • SALES PRACTICE | | 0253631 | STERNFELD, GERRI | • GENERAL CONDUCT |
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| 0328648 | ADAMS, JASON MARK | • FINE $5000 | 08/12/2005 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS | 08/12/2005 | | | | • REQUIRED TO TAPE RECORD 24 MTHS | 08/12/2005 | | 0317299 | GALLAGHER, WILLIAM JOSEPH | • FINE $5000 | 08/12/2005 | | | | • TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS | 08/12/2005 | | | | • REQUIRED TO TAPE RECORD 24 MTHS | 08/12/2005 | | 0276030 | GELLER, ELAINE BARBARA | • TEMPORARY WITHDRAWAL FROM NFA MEMBERSHIP 6 MTHS | 06/16/2006 | | | | • REQUIRED TO TAPE RECORD 6 MTHS | 06/16/2006 | | | | • FINE $7500 | 06/16/2006 | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | • PERMANENT BAR FROM NFA MEMBERSHIP | 06/16/2006 | | 0341236 | KANEB, PETER W | • NOT APPLY TO BE A MEMBER, ASSOCIATE OR PRINCIPAL | 06/16/2005 | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | • TEMPORARY BAR FROM NFA MEMBERSHIP 2 YRS | 08/12/2005 | | | | • FINE $5000 | 08/12/2005 | | | | • REQUIRED TO TAPE RECORD 24 MTHS | 08/12/2005 | | 0253631 | STERNFELD, GERRI | • NOT APPLY TO BE A MEMBER, ASSOCIATE OR PRINCIPAL | 06/16/2006 |
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| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On August 12, 2005, Adams, Gallagher and Richardson were each barred from NFA membership, Associate NFA membership and from being a principal of any NFA Member for two years; each ordered to pay a $5,000 fine; and each ordered to tape record all conversations with customers or prospective customers for twenty-four months from the date they become an NFA Member or Associate and promptly produce any and all recordings. To view Decision, go to Case Documents. For a copy of Decision, contact NFA. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On August 12, 2005, Adams, Gallagher and Richardson were each barred from NFA membership, Associate NFA membership and from being a principal of any NFA Member for two years; each ordered to pay a $5,000 fine; and each ordered to tape record all conversations with customers or prospective customers for twenty-four months from the date they become an NFA Member or Associate and promptly produce any and all recordings. To view Decision, go to Case Documents. For a copy of Decision, contact NFA. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
ANSWER -
On July 11, 2005, Harrington, Sternfeld and Geller filed an Answer to the Complaint in which they denied the material allegations contained therein. To view Answer, go to Case Documents.
DECISION -
On June 16, 2006, Harrington was barred from NFA membership and Sternfeld was barred from NFA membership, associate NFA membership or principal status with any NFA Member. Geller was ordered to withdraw from Associate NFA membership and not apply for NFA membership, associate membership or principal status with any NFA Member for six months. Should Geller be granted NFA membership, associate membership or principal status with any NFA Member following her six-month temporary bar, she was ordered to pay a $7,500 fine. In addition, Geller was ordered to tape record any and all conversations with customers or prospective customers for six months and cause any and all APs sponsored by any Member of which she is a principal to tape record any and all conversations with customers. She must promptly produce such recordings to NFA in which the participants and dates of the conversations can be readily identified. Only periods during which Geller is an NFA Member or a principal or an Associate of an NFA Member will be counted. To view the Decision, go to Case Documents. To obtain a copy, contact NFA's Information Center. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
ANSWER -
On July 11, 2005, Harrington, Sternfeld and Geller filed an Answer to the Complaint in which they denied the material allegations contained therein. To view Answer, go to Case Documents.
DECISION -
On June 16, 2006, Harrington was barred from NFA membership and Sternfeld was barred from NFA membership, associate NFA membership or principal status with any NFA Member. Geller was ordered to withdraw from Associate NFA membership and not apply for NFA membership, associate membership or principal status with any NFA Member for six months. Should Geller be granted NFA membership, associate membership or principal status with any NFA Member following her six-month temporary bar, she was ordered to pay a $7,500 fine. In addition, Geller was ordered to tape record any and all conversations with customers or prospective customers for six months and cause any and all APs sponsored by any Member of which she is a principal to tape record any and all conversations with customers. She must promptly produce such recordings to NFA in which the participants and dates of the conversations can be readily identified. Only periods during which Geller is an NFA Member or a principal or an Associate of an NFA Member will be counted. To view the Decision, go to Case Documents. To obtain a copy, contact NFA's Information Center. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On June 16, 2005, Kaneb was ordered to never apply for NFA membership, associate NFA membership or principal status with any NFA Member in the future. To view Decision, go to Case Documents. For copies of Decision, contact NFA. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
DECISION -
On August 12, 2005, Adams, Gallagher and Richardson were each barred from NFA membership, Associate NFA membership and from being a principal of any NFA Member for two years; each ordered to pay a $5,000 fine; and each ordered to tape record all conversations with customers or prospective customers for twenty-four months from the date they become an NFA Member or Associate and promptly produce any and all recordings. To view Decision, go to Case Documents. For a copy of Decision, contact NFA. | | | |
| COMPLAINT -
On May 25, 2005, NFA issued a Complaint charging Harrington, Geller, Adams, Gallagher, Kaneb and Richardson with making deceptive and misleading sales solicitations. In addition, the Complaint charged Harrington and Gallagher with using a high-pressure approach. The Complaint charged Harrington and Sternfeld with failing to diligently supervise employees and agents in the conduct of their commodity futures activities. To view Complaint, go to Case Documents. For a copy of the Complaint, contact NFA.
ANSWER -
On July 11, 2005, Harrington, Sternfeld and Geller filed an Answer to the Complaint in which they denied the material allegations contained therein. To view Answer, go to Case Documents.
DECISION -
On June 16, 2006, Harrington was barred from NFA membership and Sternfeld was barred from NFA membership, associate NFA membership or principal status with any NFA Member. Geller was ordered to withdraw from Associate NFA membership and not apply for NFA membership, associate membership or principal status with any NFA Member for six months. Should Geller be granted NFA membership, associate membership or principal status with any NFA Member following her six-month temporary bar, she was ordered to pay a $7,500 fine. In addition, Geller was ordered to tape record any and all conversations with customers or prospective customers for six months and cause any and all APs sponsored by any Member of which she is a principal to tape record any and all conversations with customers. She must promptly produce such recordings to NFA in which the participants and dates of the conversations can be readily identified. Only periods during which Geller is an NFA Member or a principal or an Associate of an NFA Member will be counted. To view the Decision, go to Case Documents. To obtain a copy, contact NFA's Information Center. | | |
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| 0328648 | ADAMS, JASON MARK | COMPLAINT | | 0328648 | ADAMS, JASON MARK | DECISION | | 0317299 | GALLAGHER, WILLIAM JOSEPH | COMPLAINT | | 0317299 | GALLAGHER, WILLIAM JOSEPH | DECISION | | 0276030 | GELLER, ELAINE BARBARA | ANSWER | | 0276030 | GELLER, ELAINE BARBARA | COMPLAINT | | 0276030 | GELLER, ELAINE BARBARA | DECISION | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | ANSWER | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | COMPLAINT | | 0312640 | HARRINGTON FINANCIAL & ENERGY ADVISORS | DECISION | | 0341236 | KANEB, PETER W | COMPLAINT | | 0341236 | KANEB, PETER W | DECISION | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | COMPLAINT | | 0302796 | RICHARDSON, JOSEPH CHRISTOPHER III | DECISION | | 0253631 | STERNFELD, GERRI | ANSWER | | 0253631 | STERNFELD, GERRI | COMPLAINT | | 0253631 | STERNFELD, GERRI | DECISION |
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