VITO J. BALSAMO

06/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Vito J. Balsamo (CRD No. 2084901), Respondent. DISCIPLINARY PROCEEDING No. 2013036704401 HEARING OFFICER - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 23, 2015 INTRODUCTION Disciplinary Proceeding No. 2013036704401 was filed on April 14, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Vito J. Balsamo submitted

Reference 2013036714401finra.orgdata-portal.finra.org

06/23/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Vito J. Balsamo (CRD No. 2084901), Respondent. DISCIPLINARY PROCEEDING No. 2013036704401 HEARING OFFICER - KBW ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 23, 2015 INTRODUCTION Disciplinary Proceeding No. 2013036704401 was filed on April 14, 2015, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Vito J. Balsamo submitted

04/14/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Vito J. Balsamo (CRD No. 2084901), Respondent. DISCIPLINARY PROCEEDING No. 2013036704401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Vito J. Balsamo engaged in private securities transactions without first receiving written approval from his member firm. He further failed to provide testimony requested by FINRA staff. RESPONDENT AND JURISDICTION

Reference 2013036704401data-portal.finra.orgdata-portal.finra.orgfinra.org