PHILIP LEONARD GRASSO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Philip Leonard Grasso (CRD 1164783), Respondent. DISCIPLINARY PROCEEDING No. 20140409066-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Beginning in or around February 2013, while on a medical leave of absence from FINRA regulated broker-dealer Allstate Financial Services, LLC (the Firm), Respondent Philip Leonard Grasso inserted himself into the lives of 91 and 89 year
05/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILIP LEONARD GRASSO (CRD No. 1164783), Respondent. Disciplinary Proceeding No. 20140409066-01 Hearing Officer-MC DEFAULT DECISION May 13, 2015 Respondent is barred from associating with any FINRA member in any capacity for each of the following violations: (i) misusing and converting customer funds, in violation of FINRA Rules 2150(a) and 2010; (ii) engaging in securities
Reference 2014040906601data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1164783 |
Other names1
Also known as1
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