FLAVIO G. VARONE

07/24/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. Flavio G. Varone Limited Registered Representative (CRD No. 1204320) Respondent Disciplinary Proceeding No. 2006007101701 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: SUMMARY 1. In or about August 2005, Flavio G. Varone ("Varone") misused a check for $17,866.51 from A&BM, who are elderly members of the public, when he failed to follow their instructions and used the funds for some purpose

08/20/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FLAVIO G. VARONE (CRD No. 1204320), Respondent. Disciplinary Proceeding No. 2006007101701 Hearing Officer-SNB HEARING PANEL DECISION August 20, 2008 For misuse of customer funds, in violation of Rule 2110, and failure to respond to Staff requests for information, in violation of Rules 8210 and 2110, Respondent is barred in all capacities. Respondent is also ordered to pay restitution in the

Reference 2006007101701data-portal.finra.orgdata-portal.finra.orgfinra.org