Soreide Law Group, a Securities Arbitration Law Firm, (888) 760-6552, found the following information on FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
Joseph Kenneth Critelli (CRD #2707711, Registered Representative, Northport, New York)
was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Critelli consented to the described sanction and to the entry of findings that in the course of an investigation, FINRA sought on-the-record testimony from Critelli concerning his personal trading activities and recommendations that he made to clients to purchase certain securities while he was registered with his member firm.
FINRA's findings stated that before the scheduled interview, Critelli told FINRA that he would not appear to testify at the on-the-record interview or at any other scheduled interview. The findings also stated that while registered at his firm, Critelli opened a personal securities account at another member firm and bought and sold securities in that account. Critelli never notified that firm that he was registered with his member firm and also failed to notify his firm that he had opened an account at another firm.
(FINRA Case #2012033227401)
The following information appears on FINRA's BrokerCheck:
Joseph Critelli was previously registered with FINRA at the following brokerage firms:
OBSIDIAN FINANCIAL GROUP, LLC
CRD# 104255
WOODBURY, NY
08/2011 - 01/2013
OBSIDIAN FINANCIAL GROUP, LLC
CRD# 104255
WOODBURY, NY
04/2008 - 06/2010
WESTROCK ADVISORS, INC.
CRD# 114338
WOODBURY, NY
06/2005 - 04/2008
This ends the information from FINRA's website.
If you or a loved one have experienced a financial loss due to your broker/financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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