MICHAEL JOHN DELLOLIO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/04/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL JOHN DELL'OLIO (CRD No. 2403455), Respondent. Disciplinary Proceeding No. 2012034939302 DEFAULT DECISION Hearing Officer - KBW May 4, 2015 Respondent failed to provide testimony in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Respondent is barred from associating with any member firm in any capacity. Appearances Albert A. Starkus III
12/16/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael John Dell'Olio (CRD No. 2403455), Respondent. DISCIPLINARY PROCEEDING No. 2012034939302 HEARING OFFICER: COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In connection with an investigation concerning possible violations of the federal securities laws and/or FINRA rules, FINRA requested that Respondent Michael John Dell'Olio ("Dell'Olio" or the "Respondent")
Reference 2012034939302data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2403455 |
Other names1
Also known as1
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