TAG | Philip Christopher Crescimanno Land O’Lakes FL
The following information is from FINRA’s website under, “Disciplinary and Other FINRA Actions, May, 2012.”
Philip Christopher Crescimanno (CRD #4412658, Registered Representative, Land O’Lakes, Florida)
submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Crescimanno consented to the described sanction and to the entry of findings that he operated an outside business without providing prompt written notice to his member firm and failed to obtain the firm’s approval.
These findings stated that by failing to report that he was an officer of his company and was involved in its operation, Crescimanno failed to comply with firm policies and procedures.
The findings also stated that Crescimanno failed to provide on-the-record testimony, materially impeding FINRA’s investigation.
(FINRA Case #2010021164401)
This ends the information from FINRA’s website.
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