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| | Complaint: John Surgent, Barry Abrams, Warren Hemedinger, Scott Piccininni, Paul Tahan, Robert Vitale, Mark Chavez, Sal ... |
 | | Mark Chavez, age 40, was a registered representative and a manager of Preferred's Pompano Beach branch office during the relevant period. |
 | | Defendants Chavez and Puccio managed the daily operations of the firm, solicited transactions in Orex, and along with defendant Vitale, allowed unregistered brokers, including defendants Piccininni and Tahan, to use their names while soliciting investments in Orex. |
 | | Defendants Piccininni, Tahan, Vitale, Chavez, and Puccio knew, or were reckless in not knowing, that these claims regarding Orex were false and that their price predictions were baseless. |
| www.sec.gov /litigation/complaints/comp18669.htm (2843 words) |
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