MICHAEL JOHN GIOVANNELLI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL J. GIOVANNELLI (CRD No. 4989449), Respondent. Disciplinary Proceeding No. 2019061941101 Hearing Officer–BEK DEFAULT DECISION November 19, 2021 Respondent is barred from associating with any FINRA member firm in any capacity for providing falsified documents and false testimony to FINRA staff and engaging in unauthorized trading in a customer account. For the unauthorized trading, Respondent
06/17/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Michael J. Giovannelli CRD No. 4989449, Respondent. Disciplinary Proceeding No. 2019061941101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between February and April 2020, while registered through Spartan Capital Securities, LLC (“Spartan”) (CRD No. 146251), Respondent Michael J. Giovannelli made 12
Reference 2019061941101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4989449 |
Other names1
Also known as1
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