Daniel Pita
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/18/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Pita, CRD No. 6759879 Disciplinary Proceeding No. 2021071965401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel Pita (“Pita” or “Respondent”) failed to provide information and documents FINRA requested pursuant to FINRA Rule 8210 in connection with an investigation of Pita’s outside business activities. As a result, Pita violated FINRA Rules 8210 and 2010.
11/29/2022: Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information and documents as required by FINRA Rule 8210.
Reference 2021071965401data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6759879 |
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