October 20, 2011

Boca Raton Broker, David Maltese, Barred by FINRA

David Angelo Maltese (CRD #2562471, Registered Representative, Boca Raton, Florida)
 
submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity.
 
The article states that without admitting or denying the findings, Maltese consented to the described sanction and to the entry of findings that he failed to respond to a FINRA request to appear for investigative on-the-record testimony concerning an investigation into certain transactions he executed in customers’ accounts at his member firm. The findings stated that Maltese, through his counsel, stated that he would not appear for testimony. (FINRA Case #2008012546801)
 
This article was obtained on FINRA's website under "Disciplinary Actions" for Oct. 2011.
 

Securities Attorney, Lars Soreide, of Soreide Law, PLLC, has represented clients nationwide. If you or a family member experienced losses  due to a stock broker’s or financial advisor’s recommendation, and/or in particular through David Angelo Maltese of Boca Raton, FL, call a Securities Arbitration Lawyer for a free consultation on how to potentially recover your losses.  To speak with an attorney, call 888-760-6552, or visit www.securitieslawyer.com.  

Soreide Law Group, PLLC., representing investors nationwide before FINRA  the Financial Industry Regulatory Authority.

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