BRIAN K. ALFARO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/28/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Pinnacle Partners Financial Corporation (CRD No. 145523), and Brian K. Alfaro (CRD No. 4049120), Respondents. DISCIPL1NARY PROCEEDING No. 2010021324501 SECOND AMENDED COMPLAINT The Department of Enforcement alleges: Summary 1. This case involves fraudulent sales of unregistered securities in eleven private placement offerings perpetrated by Brian K. Alfaro ("Alfaro") and his wholly-owned firm
12/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Pinnacle Partners Financial Corporation (CRD No. 145523), and Brian K. Alfaro (CRD No. 4049120), Respondents. DISCIPLINARY PROCEEDING No. 2010021324501 TEMPORARY CEASE AND DESIST CONSENT ORDER PENDING DISPOSITION OF TEMPORARY CEASE AND DESIST HEARING. Based upon the parties' agreement, the Hearing Officer issues this temporary cease and desist consent order pursuant to Procedural Rule 9840. It
04/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PINNACLE PARTNERS FINANCIAL CORPORATION (CRD No. 145523), and BRIAN K. ALFARO (CRD No. 4049120), Respondents. Disciplinary Proceeding No. 2010021324501 Hearing Officer - LBB DEFAULT DECISION Dated: April 25, 2012 Respondent Pinnacle Partners Financial Corporation is expelled from FINRA membership, and Respondent Brian K. Alfaro is barred from associating with any member firm in any capacity, for
12/03/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Pinnacle Partners Financial Corporation (CRD No. 145523), and Brian K. Alfaro (CRD No. 4049120) Respondents. DISCIPLINARY PROCEEDING No. 2010021324501 (CRD No. 145523), FIRST AMENDED COMPLAINT The Department of Enforcement alleges: Summary 1. This case involves ongoing fraudulent sales of unregistered securities in eight private placement offerings perpetrated by Brian K. Alfaro ("Alfaro") and his
Reference 2010021324501data-portal.finra.org data-portal.finra.org data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4049120

Other names1

Also known as1

BRIAN KEITH ALFARO

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