CARMINE DEPALMA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/17/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARMINE DEPALMA (CRD No. 1838261), Respondent. Disciplinary Proceeding No. ELI20040233-01 Hearing Officer COMPLAINT The Department of Enforcement ("Complainant") alleges as follows: JURISDICTION 1. Respondent Carmine DePalma (CRD No. 1838261) ("Respondent") first became registered with NASD as a General Securities Representative in March 1989 through a former NASD member firm. 2. During the time period March 1989 to September 2003,
08/07/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CARMINE DEPALMA (CRD No. 1838261), Respondent. Disciplinary Proceeding No. ELI20040233-01 Hearing Officer - DRP DEFAULT DECISION August 7, 2006 Respondent is barred from association with any NASD member firm in any capacity for making unsuitable recommendations, in violation of NASD Conduct Rules 2310 and 2110. In light of the bar, no further sanctions are imposed for engaging in private securities transactions. In violation of
Reference ELI2004023301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1838261 |
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