The following information appeared on FINRA’s website under “Disciplinary and Other FINRA Actions, June, 2013.”
Robert Ronald Liggero (CRD #4623608, Registered Representative, Atlantic Beach, 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 20 business days. Without admitting or denying the findings, Liggero consented to the described sanctions and to the entry of findings that he signed customers’ names on documents related to the opening of authorized IRAs without the customers’ knowledge or consent.
The suspension is in effect from May 20, 2013, through June 17, 2013.
(FINRA Case #2011028393301)
This broker was previously registered with FINRA at the following brokerage firms:
LPL FINANCIAL LLC
CRD# 6413
JACKSONVILLE, FL
06/2011 - 04/2013
BULL & BEAR BROKERAGE SERVICES, INC.
CRD# 113866
JACKSONVILLE, FL
03/2003 - 07/2011
This ends the information obtained on FINRA’s website.
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