DOCSLIB.ORG

No Retreat, Baby, No Surrender

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
No Retreat, Baby, No Surrender PRESIDENT’S REPORT NO RETREAT, BABY, NO National Postal Mail SURRENDER Handlers Union National Executive Board Dear Members, JOHN F. HEGARTY, National President John F. Hegarty ’ve borrowed the title of my quarterly bulletin boards. In calling for meaning- National President report from the lyrics of a Bruce ful Congressional action, I made the Springsteen song. I think it’s apropos obvious point: “Mail Handlers and other Mark A. Gardner I given the ongoing battles that we face. postal employees have contributed to the Secretary-Treasurer In prior columns I have reported on rejuvenation of the Postal Service. The Jefferson C. Peppers III postal reform legislation, the misguided question must be asked, what have other Vice President Central Region efforts by the Postal Service to “downsize stake-holders (including Congress and to survive,” and the continuing attacks on the major mailers) contributed?” Please Kevin L. Fletcher stay tuned for further information in the Vice President Eastern Region our work by the private sector. I see no need to repeat myself here, but be aware ongoing debate, and feel free to check our Paul V. Hogrogian that all of those issues are still pend- legislative page on the web site for a full Vice President Northeastern Region ing, and could have a detrimental effect discussion on all of the legislative issues that are currently pending. Lawrence B. Sapp on our jobs. Vice President Southern Region Over the summer, we teamed up with our Brothers and Sisters in the APWU, Rudy Santos and asked you to get involved, at the Vice President Western Region “Mail Handlers grass-roots level, in contacting your Senators and Representatives regarding The Mail Handler, ISSN:1098-5689, is published pending postal reform legislation. For and other postal quarterly by the National Postal Mail Handlers those who took the time to get involved Union, 1101 Connecticut Avenue, N.W. Suite in this effort, Thank You. Just as an 500, Washington, DC 20036. Periodicals postage employees have paid at Washington, D.C. and additional mailing update, first on September 19, 2013, and offices. POSTMASTER: Send address changes again on September 26, 2013, the Senate to The Mail Handler, 1101 Connecticut Avenue, Committee on Homeland Security and contributed to the N.W. Suite 500, Washington, DC 20036 Copyright Governmental Affairs held hearings 2013: National Postal Mail Handlers Union. All about the Postal Service and the need rights reserved. Reproduction without permis- rejuvenation of the sion is prohibited. The Mail Handler is published for reform. I was asked to testify on for the members of our union. For additional September 26, and did so on your behalf. copies please send $2.00 to: National Postal My testimony has been posted on our Postal Service.” Mail Handlers Union—National Headquarters, web site at www.npmhu.com, and is also 1101 Connecticut Avenue, N.W., Suite 500 the subject of the October Mail Handler Washington, DC 20036, (202) 833-9095 Update, which should be posted on your National Postal Mail Handlers Union The Mail Handler | 3 19290_MHFall13.indd 3 10/24/13 12:54 PM “Please continue to The Article 12 Task Force, first estab- retirement program, however, the Postal stay active and lished under our 2006 National Agreement, Service must bargain with the Union. The continues to do great work in the field bottom line is this: I have no reason to hold assisting Local Union representatives in any information on early retirement offers the myriad issues that arise under the con- close to the vest. When I know, you will stay engaged tract as it relates to reassignments, senior- know, plain and simple. ity, retreats rights, and all of the other In closing, please continue to stay active issues encompassed within Article 12. Most and stay engaged in all of the critical issues in all of the of the work of the Task Force has con- facing us. As the busy mailing season con- centrated on closings and consolidations, tinues, be sure to work safely, and enjoy and the resulting reassignments. We all the upcoming holidays with your friends should thank the Article 12 Task Force and families. critical issues members—National Manager of Contract But as always, no retreat, baby, no surrender. Administration T. J. Branch; Northeastern Regional Vice President and Local 300 Fraternally facing us.” President Paul Hogrogian; National Contract Administration Representative Tim Dwyer, and all of our other CAD members who work on these issues. A question I am asked quite often is John F. Hegarty whether there will be another “early-out” National President for Mail Handlers? The answer for today is no. The reason I say “for today” is that the Postal Service has, in the past, said no more early outs, and then gone ahead and offered one anyway. Keep in mind that USPS can offer an early retirement with- out incentives at almost any time, without full bargaining with the Union. If there are to be any incentives attached to an early 4 | The Mail Handler Fall 2013 19290_MHFall13.indd 4 10/24/13 12:54 PM.
Load more

Recommended publications
  • Operative Facts in Surrenders (Concluded)
    University of Missouri Bulletin Law Series Volume 38 April 1928 Article 9 1928 Operative Facts in Surrenders (concluded) Merrill I. Schnebly Follow this and additional works at: https://scholarship.law.missouri.edu/ls Part of the Law Commons Recommended Citation Merrill I. Schnebly, Operative Facts in Surrenders (concluded), 38 Bulletin Law Series. (1928) Available at: https://scholarship.law.missouri.edu/ls/vol38/iss1/9 This Article is brought to you for free and open access by the Law Journals at University of Missouri School of Law Scholarship Repository. It has been accepted for inclusion in University of Missouri Bulletin Law Series by an authorized editor of University of Missouri School of Law Scholarship Repository. For more information, please contact [email protected]. OPERATIVE FACTS IN SURRENDERS CREATION IN THE LESSEE OF A NEW INTEREST IN THE SAME PREMISES Where the lessee has accepted a new interest in the premises embraced in the original demise, and such new interest is incapable of existing along with the old, the latter is extinguished through a surrender "by act and operation of law." When a new interest of this kind has been created in the lessee, a problem arises which offers but two possibilities of solution. Either it must be held that the new interest is valid and the former interest extinguished, or else that the new interest is invalid and the original lease still in full effect. If the parties think in creating the new interest of its effect upon the original lease, it would seem that they must regard the old leasehold interest as ex- tinguished.
    [Show full text]
  • In Their Own Words: Voices of Jihad
    THE ARTS This PDF document was made available from www.rand.org as CHILD POLICY a public service of the RAND Corporation. CIVIL JUSTICE EDUCATION Jump down to document ENERGY AND ENVIRONMENT 6 HEALTH AND HEALTH CARE INTERNATIONAL AFFAIRS The RAND Corporation is a nonprofit research NATIONAL SECURITY POPULATION AND AGING organization providing objective analysis and PUBLIC SAFETY effective solutions that address the challenges facing SCIENCE AND TECHNOLOGY the public and private sectors around the world. SUBSTANCE ABUSE TERRORISM AND HOMELAND SECURITY Support RAND TRANSPORTATION AND INFRASTRUCTURE Purchase this document WORKFORCE AND WORKPLACE Browse Books & Publications Make a charitable contribution For More Information Visit RAND at www.rand.org Learn more about the RAND Corporation View document details Limited Electronic Distribution Rights This document and trademark(s) contained herein are protected by law as indicated in a notice appearing later in this work. This electronic representation of RAND intellectual property is provided for non-commercial use only. Unauthorized posting of RAND PDFs to a non-RAND Web site is prohibited. RAND PDFs are protected under copyright law. Permission is required from RAND to reproduce, or reuse in another form, any of our research documents for commercial use. For information on reprint and linking permissions, please see RAND Permissions. This product is part of the RAND Corporation monograph series. RAND monographs present major research findings that address the challenges facing the public and private sectors. All RAND monographs undergo rigorous peer review to ensure high standards for research quality and objectivity. in their own words Voices of Jihad compilation and commentary David Aaron Approved for public release; distribution unlimited C O R P O R A T I O N This book results from the RAND Corporation's continuing program of self-initiated research.
    [Show full text]
  • Understanding the Religious Terrorism of Boko Haram in Nigeria
    African Study Monographs, 34 (2): 65–84, August 2013 65 NO RETREAT, NO SURRENDER: UNDERSTANDING THE RELIGIOUS TERRORISM OF BOKO HARAM IN NIGERIA Daniel Egiegba AGBIBOA Oxford Department of International Development, University of Oxford ABSTRACT Boko Haram, a radical Islamist group from northeastern Nigeria, has caused severe destruction in Nigeria since 2009. The threat posed by the extremist group has been described by the present Nigerian President as worse than that of Nigeria’s civil war in the 1960s. A major drawback in the Boko Haram literature to date is that much effort has been spent to remedy the problem in lieu of understanding it. This paper attempts to bridge this important gap in existing literaure by exploring the role of religion as a force of mobilisation as well as an identity marker in Nigeria, and showing how the practice and perception of religion are implicated in the ongoing terrorism of Boko Haram. In addition, the paper draws on the relative deprivation theory to understand why Boko Haram rebels and to argue that religion is not always a sufficient reason for explaining the onset of religious terrorism. Key Words: Boko Haram; Nigeria; Religious terrorism; Identity; Relative deprivation theory. INTRODUCTION Since 2009, bombings and shootings by the Nigerian extremist group Boko Haram have targeted Nigeria’s religious and ethnic fault lines in an apparently escalating bid to hurt the nation’s stability. A spate of increasingly coordinated and sophisticated attacks against churches from December 2011 through July 2012 suggests a strategy of provocation through which the group seeks to spark wide- scale sectarian violence that will strike at the foundations of the country (Forest, 2012).
    [Show full text]
  • GOLD Package Channel & VOD List
    GOLD Package Channel & VOD List: incl Entertainment & Video Club (VOD), Music Club, Sports, Adult Note: This list is accurate up to 1st Aug 2018, but each week we add more new Movies & TV Series to our Video Club, and often add additional channels, so if there’s a channel missing you really wanted, please ask as it may already have been added. Note2: This list does NOT include our PLEX Club, which you get FREE with GOLD and PLATINUM Packages. PLEX Club adds another 500+ Movies & Box Sets, and you can ‘request’ something to be added to PLEX Club, and if we can source it, your wish will be granted. ♫: Music Choice ♫: Music Choice ♫: Music Choice ALTERNATIVE ♫: Music Choice ALTERNATIVE ♫: Music Choice DANCE EDM ♫: Music Choice DANCE EDM ♫: Music Choice Dance HD ♫: Music Choice Dance HD ♫: Music Choice HIP HOP R&B ♫: Music Choice HIP HOP R&B ♫: Music Choice Hip-Hop And R&B HD ♫: Music Choice Hip-Hop And R&B HD ♫: Music Choice Hit HD ♫: Music Choice Hit HD ♫: Music Choice HIT LIST ♫: Music Choice HIT LIST ♫: Music Choice LATINO POP ♫: Music Choice LATINO POP ♫: Music Choice MC PLAY ♫: Music Choice MC PLAY ♫: Music Choice MEXICANA ♫: Music Choice MEXICANA ♫: Music Choice Pop & Country HD ♫: Music Choice Pop & Country HD ♫: Music Choice Pop Hits HD ♫: Music Choice Pop Hits HD ♫: Music Choice Pop Latino HD ♫: Music Choice Pop Latino HD ♫: Music Choice R&B SOUL ♫: Music Choice R&B SOUL ♫: Music Choice RAP ♫: Music Choice RAP ♫: Music Choice Rap 2K HD ♫: Music Choice Rap 2K HD ♫: Music Choice Rock HD ♫: Music Choice
    [Show full text]
  • Resolution No
    AC TRANSIT DISTRICT GC Memo No. 08-213 Board of Directors Executive Summary Meeting Date: September 10, 2008 Committees: Planning Committee Finance and Audit Committee External Affairs Committee Operations Committee Rider Complaint Committee Paratransit Committee Board of Directors Financing Corporation SUBJECT: Consider the Adoption of AC Transit Resolution No. 08-055 Authorizing the Execution and Delivery of Various Documents and a Preliminary Official Statement in Connection With the Sale of the Alameda-Contra Costa Transit District Certificates of Participation (Land Acquisition Project) Series 2008a and Certain Other Actions in Connection Therewith and Repealing Resolution No. 08-031 RECOMMENDED ACTION: Information Only Briefing Item Recommended Motion Staff recommends the adoption of Resolution No. 08-055 and authorization to proceed with the sale of tax-exempt Certificates of Participation (COPs) to obtain financing to reimburse the District for its cost of acquiring approximately 8.0 acres of property located on 66th Avenue, in Oakland, CA (the District’s Property) and to finance certain improvements (the Improvements) to the Property. The District previously purchased approximately 16.26 acres of property located at 66th Avenue with its own funds and will be partially reimbursed from the sale of the COPs for those costs, as well as a portion of its acquisition costs and potential improvement costs. Fiscal Impact: Not to exceed $15 million, including reimbursement for a portion of the costs incurred in acquiring the property. BOARD ACTION: Approved as Recommended [ ] Other [ ] Approved with Modification(s) [ ] The above order was passed on: . Linda A. Nemeroff, District Secretary By GC Memo No. 08-213 Meeting Date: September 10, 2008 Page 2 of 4 Background/Discussion: The Special Meeting This is a special joint meeting of the AC Transit Board of Directors and the Finance Corporation Board of Directors.
    [Show full text]
  • America's Decision to Drop the Atomic Bomb on Japan Joseph H
    Louisiana State University LSU Digital Commons LSU Master's Theses Graduate School 2007 America's decision to drop the atomic bomb on Japan Joseph H. Paulin Louisiana State University and Agricultural and Mechanical College Follow this and additional works at: https://digitalcommons.lsu.edu/gradschool_theses Part of the Arts and Humanities Commons Recommended Citation Paulin, Joseph H., "America's decision to drop the atomic bomb on Japan" (2007). LSU Master's Theses. 3079. https://digitalcommons.lsu.edu/gradschool_theses/3079 This Thesis is brought to you for free and open access by the Graduate School at LSU Digital Commons. It has been accepted for inclusion in LSU Master's Theses by an authorized graduate school editor of LSU Digital Commons. For more information, please contact [email protected]. AMERICA’S DECISION TO DROP THE ATOMIC BOMB ON JAPAN A Thesis Submitted to the Graduate Faculty of the Louisiana State University and Agricultural and Mechanical College In partial fulfillment of the Requirements for the degree of Master of Arts in Liberal Arts in The Inter-Departmental Program in Liberal Arts By Joseph H. Paulin B.A., Kent State University, 1994 May 2007 TABLE OF CONTENTS ABSTRACT……………………………………………………...………………...…….iii CHAPTER 1. INTRODUCTION……………………………………...………………….1 CHAPTER 2. JAPANESE RESISTANCE………………………………..…………...…5 CHAPTER 3. AMERICA’S OPTIONS IN DEFEATING THE JAPANESE EMPIRE...18 CHAPTER 4. THE DEBATE……………………………………………………………38 CHAPTER 5. THE DECISION………………………………………………………….49 CHAPTER 6. CONCLUSION…………………………………………………………..64 REFERENCES.………………………………………………………………………….68 VITA……………………………………………………………………………………..70 ii ABSTRACT During the time President Truman authorized the use of the atomic bomb against Japan, the United States was preparing to invade the Japanese homeland. The brutality and the suicidal defenses of the Japanese military had shown American planners that there was plenty of fight left in a supposedly defeated enemy.
    [Show full text]
  • Page 1 of 279 FLORIDA LRC DECISIONS
    FLORIDA LRC DECISIONS. January 01, 2012 to Date 2019/06/19 TITLE / EDITION OR ISSUE / AUTHOR OR EDITOR ACTION RULE MEETING (Titles beginning with "A", "An", or "The" will be listed according to the (Rejected / AUTH. DATE second/next word in title.) Approved) (Rejectio (YYYY/MM/DD) ns) 10 DAI THOU TUONG TRUNG QUAC. BY DONG VAN. REJECTED 3D 2017/07/06 10 DAI VAN HAO TRUNG QUOC. PUBLISHER NHA XUAT BAN VAN HOC. REJECTED 3D 2017/07/06 10 POWER REPORTS. SUPPLEMENT TO MEN'S HEALTH REJECTED 3IJ 2013/03/28 10 WORST PSYCHOPATHS: THE MOST DEPRAVED KILLERS IN HISTORY. BY VICTOR REJECTED 3M 2017/06/01 MCQUEEN. 100 + YEARS OF CASE LAW PROVIDING RIGHTS TO TRAVEL ON ROADS WITHOUT A APPROVED 2018/08/09 LICENSE. 100 AMAZING FACTS ABOUT THE NEGRO. BY J. A. ROGERS. APPROVED 2015/10/14 100 BEST SOLITAIRE GAMES. BY SLOANE LEE, ETAL REJECTED 3M 2013/07/17 100 CARD GAMES FOR ALL THE FAMILY. BY JEREMY HARWOOD. REJECTED 3M 2016/06/22 100 COOL MUSHROOMS. BY MICHAEL KUO & ANDY METHVEN. REJECTED 3C 2019/02/06 100 DEADLY SKILLS SURVIVAL EDITION. BY CLINT EVERSON, NAVEL SEAL, RET. REJECTED 3M 2018/09/12 100 HOT AND SEXY STORIES. BY ANTONIA ALLUPATO. © 2012. APPROVED 2014/12/17 100 HOT SEX POSITIONS. BY TRACEY COX. REJECTED 3I 3J 2014/12/17 100 MOST INFAMOUS CRIMINALS. BY JO DURDEN SMITH. APPROVED 2019/01/09 100 NO- EQUIPMENT WORKOUTS. BY NEILA REY. REJECTED 3M 2018/03/21 100 WAYS TO WIN A TEN-SPOT. BY PAUL ZENON REJECTED 3E, 3M 2015/09/09 1000 BIKER TATTOOS.
    [Show full text]
  • Congressional Record—Senate S11841
    September 20, 2007 CONGRESSIONAL RECORD — SENATE S11841 Mr. HATCH. One concern that I I would ask the chairman of the intend to clarify how Federal health raised, which we all agreed would have HELP Committee, Senator KENNEDY, agencies may use and release Medicare been included in the conference report whether he would agree to this request. data and make the appropriate amend- language had we filed such a report was Mr. KENNEDY. It is a great pleasure ments in the Social Security Act. At a clarification about the meaning of to work with my distinguished col- that point, it will be important that ‘‘scientific or regulatory issues.’’ It leagues from the Finance Committee the use of Medicare data be appro- was our agreement during negotiations on this reauthorization of important priately tied into the drug safety provi- on FDARA about what is perhaps an programs at the FDA. I know they sions of the FDA bill under consider- obvious point: if the law requires a have a deep interest in seeing that the ation today. We would hope that our delay in approval of an ANDA or medicines that Americans take are colleague, Senator KENNEDY, would 505(b)(2) application, for example be- safe and effective. agree to make conforming amendments cause of a patent or an exclusivity, this Senator BAUCUS and Senator GRASS- to the Federal Food, Drug and Cos- new provision will not change that re- LEY have rightly raised a question re- metic Act as needed to make FDA law quired legal result. The law is the law, garding the interpretation of section consistent with appropriate Medicare and its effect should not depend on 905 of this bill.
    [Show full text]
  • DNA Test Report: DNA - HC-HSF4
    Health - DNA Test Report: DNA - HC-HSF4 Pastoral - Australian Shepherd Dog Name Reg No DOB Sex Sire Dam Test Date Test Result ABODANDY NIKO JACAROO BOO AK02001703 26/05/2009 Bitch YULIA EVEREADY DANDY OF SHEPALIAN BAJIMBA AT ABODANDY 26/08/2014 Clear ABODANDY ACCRA BLU LIGHTENING AH04474501 08/10/2007 Bitch HEATHERHILL SHOCK N AWE (IMP ACCRA IMNO MUGGLE 04/03/2010 Clear USA) ACCRA WISHES N'SPELLS AS02712504 23/06/2015 Bitch LISKARN NO SECRET WE LOVE BLEUROYAL BEWITCHING BELLE 12/03/2019 Clear YOU WITH ACCRA (IMP CHL) ALADDIN'S VIVA LA FRANCE Bitch MEDALIONS FIRE BY ALADDIN ALADDIN'S HOT EVENT 08/06/2009 Clear ALLMARK CARELESS WHISPER AH00498001 09/10/2006 Bitch BAYSHORE'S TEARS OF A CLOWN OZZYPOOL MOLLY MALONE AT 27/08/2010 Clear ALLMARK ALLMARK DON'T STOP ME NOW AQ01809410 06/04/2013 Dog BAYSHORE STONEHAVEN CAT ALLMARK CARELESS WHISPER 25/08/2017 Clear BURGLAR (IMP USA) ALLMARK FOREIGN AFFAIR AM00615702 05/11/2010 Bitch DAZZLE'S BILL-A-BING BILL-A- ALLMARK CARELESS WHISPER 08/08/2013 Clear BONG ALLMARK GRACE JONES AK01434908 01/04/2009 Bitch HEATHERHILL SHOCK N AWE (IMP OZZYPOOL MOLLY MALONE AT 19/03/2012 Clear USA) ALLMARK ALLMARK ITALIAN KISSES FOR APPLEFIRE AP01167601 03/02/2012 Bitch GOD'S GREAT BANANA SKIN ALLMARK CARELESS WHISPER 14/08/2013 Clear ALLMARK JOIN THE CLAN AT MISTYHOLLY AQ01809407 06/04/2013 Bitch BAYSHORE STONEHAVEN CAT ALLMARK CARELESS WHISPER 07/07/2015 Clear BURGLAR (IMP USA) ALLMARK MASERATI AT MEITZA AP01167605 03/02/2012 Dog GOD'S GREAT BANANA SKIN ALLMARK CARELESS WHISPER 27/08/2015 Clear ALLMARK MUFFIN MUNCHER
    [Show full text]
  • Hard Justice Free
    FREE HARD JUSTICE PDF Lori Foster | 384 pages | 21 Mar 2017 | Harlequin Books | 9780373799329 | English | United States Hard Justice | Halo Machinima | Fandom Its promotional trailer was released Hard Justice YouTube on September 20, Hard Justice Bernard Brown is the starring character, an ex-cop Hard Justice resigns from the Hard Justice department of Regent City after deciding Hard Justice doesn't want to be a part of or contribute to the fact that Regent City is slowly becoming a fascist police state. Unfortunately for him, Esoteria is not much of a difference. After Hard Justice to get a Hard Justice, Bernard finds a job at E. Despite having a dark theme, Hard Justice still contains plenty Hard Justice DigitalPh33r's trademark humor. Max tells Eddie to steel himself for the coming task. Eddie decides to open the door, but Max tells him "Don't split hairs with me. Why go around something when you can go through it", and blasts open the door with his rocket launcher. Entering the house, Max discovers that the occupant of the house has downloaded three tracks of music, causing Eddie to puke violently. Just then, the occupant of the Hard Justice returns, and he is placed under arrest by Max, who tells him that downloading three tracks is equivalent to killing three Hard Justice. Eddie then fires at the "offender", who flees. Max blows up his car. After failing to catch him, they taser him twice and restrain him. In the Hard Justice, Bernard arrives at Esoteria airport, and after clearing the numerous security checkpoints, getting stopped at each of them Hard Justice being nervous.
    [Show full text]
  • “Aware-Settler” Biblical Studies: Breaking Claims of Textual Ownership Matthew R
    “Aware-Settler” Biblical Studies: Breaking Claims of Textual Ownership Matthew R. Anderson [email protected] ABSTRACT “Aware-Settler” is a term coined here to describe the various hermeneutics that arise as increasingly, non-Indigenous biblical scholars take seriously that their research is done on colonized Land. Paying special attention to the principle of possessiveness, the article suggests breaking stubborn Settler-scholar hid- den-default assumptions of ownership, proposing instead that biblical texts might be understood as another form of “Treaty territory.” Indigenous scholars’ common emphases on Landedness, relationality, spirituality, and community good, can inform methodologies employed by Settler biblical scholars. These hermeneutical principles, learned in a contact zone characterized by attention to reciprocity and respect, are employed in a brief look at Matthew 28:25–28. The so-called Great Commission is a foundational text of colonialism; many Indigenous scholars have judged it as “unreadable.” For that reason it provides a particularly appropri- ate test-case for applying Aware-Settler hermeneutics focussed on breaking claims of identity and owner- ship. KEYWORDS aware-settler, Indigenous, settler, hermeneutics, biblical scholarship or her Presidential address at the 2018 meeting of the Canadian Society of Biblical Studies, FChristine Mitchell spoke on “Reading Biblical Conquest Stories on Treaty 4 Land: Working To- wards Reconciliation.”1 She noted that already thirty years before, Robert Warrior, an Indigenous
    [Show full text]
  • Before the National Adjudicatory Council
    BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, DECISION Complainant, Complaint No. 2012034936005 vs. David Joseph Escarcega July 20, 2017 Phoenix, AZ, Respondent. Respondent willfully made fraudulent misrepresentations concerning debentures, recommended to customers unsuitable debentures, and caused his firm to make and preserve inaccurate books and records. Held, findings and sanctions affirmed. Appearances For the Complainant: Michael J. Rogal, Esq., and Leo F. Orenstein, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: Paul J. Roshka, Jr., Esq., and Craig M. Waugh, Esq. Decision I. Introduction David Escarcega appeals a February 29, 2016 Hearing Panel decision. The Hearing Panel found that Escarcega willfully made materially false and misleading statements in connection with seven customers’ purchases of debentures totaling approximately $516,825. It further found that Escarcega made unsuitable recommendations in connection with 12 customers’ purchases of the same debentures totaling approximately $1.5 million, and that he caused his firm to make and preserve inaccurate books and records. For this misconduct, the Hearing Panel barred Escarcega and ordered that he disgorge $52,270, which was the amount of commissions he received in connection with the transactions underlying his misconduct. - 2 - Central to each finding of misconduct in this case is a debt product—described by its issuer as involving “a high degree of risk”—that Escarcega recommended and sold to his customers. Escarcega sold these debentures (which he does not dispute were speculative and involved numerous risks as described in the debentures’ offering documents) by making misrepresentations to certain customers about and concerning the debentures’ purported safety and by ignoring his obligation to recommend suitable securities with respect to other customers.
    [Show full text]