SEC News
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TAG | failure to reply to FINRA
May/12
15
Palm Harbor, FL, Registered Supervisor Fined and Suspended by FINRA
Comments off · Posted by Securities Lawyer in FINRA
The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.”
Paul Andrew Fischetti (CRD #2300161, Registered Supervisor, Palm Harbor, Florida)
submitted a Letter of Acceptance, Waiver and Consent in which he was fined $5,000 and
suspended from association with any FINRA member in any capacity for six months. The fine must be paid either immediately upon Fischetti’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.
Without admitting or denying the findings, Fischetti consented to the described sanctions and to the entry of findings that he failed to timely respond to FINRA requests for information.
The suspension is in effect from April 2, 2012, through October 1, 2012.
(FINRA Case #2010023912802)
This ends the information from FINRA’s website.
Securities Lawyer, Lars K. Soreide, of Soreide Law Group, PLLC, has represented clients nationwide.
For a free consultation with an attorney, please call 888-760-6552, or visit our website at: www.securitieslawyer.com.
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