Adam Gerard Belardino
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Adam Gerard Belardino CRD No. 5221927, Respondent. Disciplinary Proceeding No. 2019062347102 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Adam Gerard Belardino failed on two occasions to appear for on-the-record (“OTR”) testimony requested by FINRA staff pursuant to FINRA Rule 8210. As a result, Belardino violated FINRA Rules 8210 and 2010.
09/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ADAM GERARD BELARDINO (CRD No. 5221927), Respondent. Disciplinary Proceeding No. 2019062347102 Hearing Officer–MC DEFAULT DECISION September 7, 2021 For failing to provide on-the-record testimony on two occasions in violation of FINRA Rules 8210 and 2010, Respondent Adam Gerard Belardino is barred from associating with any FINRA member firm in any capacity. Appearances For the Complainant: Loyd Gattis, Esq.,
Reference 2019062347102finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5221927 |
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