PATRICK ANTHONY POTOPOWICZ
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/05/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. PATRICK ANTHONY POTOPOWICZ (CRD No. 1217511), RESPONDENT. DISCIPLINARY PROCEEDING No. 2006004960901 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2003 through January 2005, Patrick Anthony Potopowicz engaged in excessive and unsuitable trading in the account of customer RP
07/07/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. PATRICK ANTHONY POTOPOWICZ (CRD No. 1217511), Respondent Disciplinary Proceeding No. 2006004960901 Hearing Officer - MC DEFAULT DECISION . July 6,2009 The Respondent is barred from associating with any FINRA member firm in any capacity, and ordered to pay restitution to a customer in the amount of $2,976.43, plus interest
Reference 2006004960901data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1217511 |
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