ALAIN FLORESTAN

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALAIN FLORESTAN (CRD No. 2818942), Respondent. Disciplinary Proceeding No. 2014039091903 Hearing Officer-LOM DEFAULT DECISION June 2, 2017 Respondent violated FINRA Rules 2111 and 2010 by recommending a trading strategy without considering the costs and without having a reasonable basis for believing the strategy suitable. For this misconduct, he is suspended from associating with any
12/31/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. Caldwell International Securities Corp. [CRD No. 104323], Greg Caldwell [CRD No. 2816295], Lennie Freiman [CRD No. 1007506], Paul Jacobs [CRD No. 4658235], Alain Florestan [CRD No. 2818942], Alex Etter [CRD No. 2981742], Lucas Lichtman [CRD No. 5542092], Richard Lim [CRD No. 4949289], and Richard Lee [CRD No. 2768039], Respondents. DISCIPLINARY PROCEEDING NO. 2014039091903 COMPLAINT
Reference 2014039091903finra.org data-portal.finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2818942

Other names1

Also known as1

ALAIN J FLORESTAN

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