MICHAEL RICHARD ROSALIA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/20/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael R. Rosalia (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Michael R. Rosalia (“Rosalia”) failed to appear and provide testimony requested pursuant to FINRA Rule 8210 as part of FINRA’s investigation into whether Rosalia engaged in excessive and unsuitable trading in his customers’ accounts. As a result, Rosalia violated FINRA Rules 8210 and 2010.
10/15/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL R. ROSALIA (CRD No. 2323953), Respondent. Disciplinary Proceeding No. 2019060753508 Hearing Officer–BDC DEFAULT DECISION October 15, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to appear for on-the-record testimony requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010.
Reference 2019060753508data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2323953 |
Other names1
Also known as1
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