MICHAEL LAVOLPE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL LAVOLPE (CRD No. 5054798), Respondent. Disciplinary Proceeding No. 2015047559201 Hearing Officer - KBW DEFAULT DECISION December 6, 2016 Respondent is barred from associating with any FINRA member firm in any capacity for failing to respond to requests for documents and information, in violation of FINRA Rules 8210 and 2010. For the Complainant: Christina J. Kang, Esq., and Lara Thyagarajan,
07/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Michael Lavolpe (CRD No. 5054798), Respondent. DISCIPLINARY PROCEEDING No. 2015047559201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From December 2015 through March 2016, Michael Lavolpe ("Lavolpe" or "Respondent"), failed to respond to requests for documents and information sent pursuant to FINRA Rule 8210. As a result, Lavolpe violated FINRA Rules 8210 and 2010.
Reference 2015047559201data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5054798 |
Other names1
Also known as1
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