Chris Fulco (CRD #4093586, Staten Island, New York) barred by FINRA for allegedly participating, either directly or indirectly, in the sales of a non-public company’s shares away from his member firms without providing written notice to or receiving approval from his firms. FINRA's findings stated that Fulco concealed his involvement in the transactions, from one […]

The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, January, 2013.” Steven Jay Oshinsky (CRD #2339197, Registered Principal, Boca Raton, Florida) was suspended from association with any FINRA member in any capacity for one year. Without admitting or denying FINRA's allegations, Oshinsky consented to the described sanction and to the entry […]

Patrick Alan Deramus (CRD #1718409, Registered Principal, Tampa, 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 six months. Without admitting or denying the findings, Deramus consented to the described sanctions and to the entry of findings […]

Harold James Swart Jr. (CRD #2912854, Registered Representative, Kissimmee, Florida) was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Swart consented to the described sanction and to the entry of findings that he willfully filed inaccurate Form U4s and failed to make other material disclosures on his […]

The following information is from FINRA’s website under “Disciplinary Actions, March, 2012:"   Dominick Amadeo Zavaglia Jr. (CRD #5500264, Registered Representative, Miami, 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 six months. The fine must […]

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 […]