This summation of information was found on FINRA's website under "Disciplinary and Other FINRA Actions, February, 2014."
Carlo Wayne Corzine (CRD #1928723, Registered Principal, Boca Raton, Florida)
was suspended by FINRA for 30 days. According to FINRA's investigation, Corzine sold more than 152 million unregistered shares of a thinly-traded OTC security for his clients, which included the CEO and president of the issuer, and other accounts he controlled.
Corzine’s clients opened accounts at Corzine's member firm in which they deposited and sold huge amounts of the stock, then wired those proceeds out of the accounts, which totaled approx.$570,000 to the clients.
Allegedly, there was no due diligence performed by Corzine. This stock was unregistered and no exemption was available. Corzine failed to verify certain information.
The suspension is in effect from January 6, 2014, through February 18, 2014. (FINRA Case #2011029206501)
According to FINRA's BrokerCheck, Carlo Wayne Corzine is currently registered with the following FINRA firm(s):
DAWSON JAMES SECURITIES, INC. (CRD# 130645) Registered with this firm since 2/19/2014
1 NORTH FEDERAL HIGHWAY, SUITE 500, BOCA RATON, FL 33432
Carlo Wayne Corzine was previously registered with:
NEWBRIDGE SECURITIES CORPORATION (CRD# 104065) - BOCA RATON, FL
01/2005 - 04/2009
STERLING FINANCIAL INVESTMENT GROUP, INC. (CRD# 41506) - BOCA RATON, FL
11/1998 - 01/2005
ROUND HILL SECURITIES, INC. (CRD# 35223) - ALAMO, CA
10/1996 - 11/1998
NORTHEAST SECURITIES, INC. (CRD# 25996) - MITCHELFIELD, NY
04/1996 - 10/1996
PCM SECURITIES LIMITED, L.P. (CRD# 28761) - GREEN ACRES, FL
12/1994 - 04/1996
SOUTHEAST RESEARCH PARTNERS, INC. (CRD# 28629) - MELVILLE, NY
12/1993 - 12/1994
JOSEPHTHAL LYON & ROSS INCORPORATED (CRD# 3227) - NEW YORK, NY
07/1992 - 04/1994
J. W. GANT & ASSOCIATES, INC. (CRD# 7963) 02/1990 - 07/1992
SHEARSON LEHMAN HUTTON INC. (CRD# 7506) - NEW YORK, NY
03/1989 - 12/1989
This ends the information available on FINRA's website.
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