The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, February, 2013.”
Joseph Edward Conti (CRD #1230968, Registered Principal, Lantana, Florida)
was barred from association with any FINRA member in any principal capacity and suspended from association with any FINRA member in any capacity for three months. Because of Conti’s financial status, no monetary sanctions have been imposed.
Without admitting or denying the allegations, Conti consented to the FINRA's sanctions and to the entry of findings that he negligently and repeatedly made false oral and written representations to FINRA that an individual was his member firm’s financial and operations principal (FINOP) when he was not acting in that capacity.
FINRA's findings stated that Conti’s firm did not have a FINOP and no one performed the functions usually performed by a FINOP. The findings also stated that by negligently and repeatedly providing false information to FINRA, Conti impeded FINRA’s examination.
The suspension is in effect from December 17, 2012, through March 16, 2013. (FINRA Case #2010020903201)
This ends the information from FINRA’s website.
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