FRANK J SCARCELLO, III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Frank J. Scarcello (CRD No. 5675353), Respondent. DISCIPLINARY PROCEEDING No. 2010021368801 COMPLAINT The Department of Enforcement ("Enforcement") alleges: SUMMARY 1. From October to November 2009, Frank J. Scarcello ("Scarcello"), a Series 6 licensed banker registered with Chase Investment Services Corp. (the "Firm"), effected a wire transaction and several ATM withdrawals from the account of DM,
04/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FRANK J. SCARCELLO (CRD No. 5675353), Respondent. Disciplinary Proceeding No. 2010021368801 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 11, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for converting funds from bank customers' accounts, in violation of FINRA Conduct Rule 2010; and failing to respond to requests for information, in violation
Reference 2010021368801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5675353 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.