Miami Rep Fined and Suspended by FINRA

business man holding his head with text asking questions about stock broker misconduct

The following information was obtained on FINRA’s website’s ‘Disciplinary Actions, January 2012.”

Dennis Flanagan Jr. (CRD #4199469, Registered Principal, Miami, Florida)

submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Flanagan’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.

Without admitting or denying the allegations, Flanagan consented to the described sanctions and to the entry of findings that he willfully failed to timely disclose material information on his Form U4. The findings stated that Flanagan failed to respond to FINRA requests for documents and information.

The suspension is in effect from December 5, 2011, through December 4, 2013.

(FINRA Case #2008011666201)

The information from FINRA’s website has ended.

Securities Attorney, Lars Soreide, of Soreide Law Group, PLLC, has represented clients nationwide. If you or a family member have sustained investment losses through Dennis Flanagan, Jr. of Miami, FL, or losses due to your stock broker or financial advisor’s recommendations, call for a free consultation on how to potentially recover your losses. To speak with an attorney call 888-760-6552, or visit our website at: www.securitieslawyer.com.

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

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