ANTHONY OTTIMO SR.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. EKN Financial Services, Inc. (CRD #113525), Anthony Ottimo, Sr. (CRD #2974369), AND Thomas Giugliano (CRD #2804591), Respondents. Disciplinary Proceeding No.2008011665801 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 12, 2012 INTRODUCTION Disciplinary Proceeding No. 2008011665801 was filed on June 24, 2011 by the Department of Enforcement of the Financial Industry
Reference 2008011665801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/02/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ELI2003001101 TO: Department of Enforcement NASD RE: EKN Financial Services Inc. (formerly known as Ehrenkrantz King Nussbaum, Inc.) [BD No. 113525] Anthony Ottimo, Sr. [CRD No. 2974369] Thomas Michael Giugliano [CRD No. 2804591] Michael Patrick Benvenuto [CRD No. 1839351] William Thomas Baker [CRD No. 1804430] Pursuant to Rule 9216 of NASD Code of Procedure, EKN Financial Services, Inc. (formerly known as Ehrenkratz King Nussbaum, Inc.)("EKN") Anthony
Reference ELI2003001101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2974369

Other names1

Also known as1

ANTHONY OTTIMO, SR

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.