JOHN J. MISULIA

01/23/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOHN J. MISULIA (CRD No. 5330650), Respondent Disciplinary Proceeding No. 2011029262201 Hearing Officer - LBB DEFAULT DECISION Dated: January 23, 2014 For conversion of funds from his member firm, in violation of FINRA Rule 2010, is barred from associating with any FINRA member firm in any capacity. Appearances Ellen McCarthy, Esq., and Kevin Pogue, Esq, for the Department

07/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. John J. Misulia (CRD No. 5330650), Respondent. DISCIPLINARY PROCEEDING No. 2011029262201 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period of September 2010 to July 2011 (the Relevant Period), John J. Misulia (Respondent) converted $5,683.31 from his FINRA-regulated broker-dealer by charging personal expenses on a corporate credit card issued by his firm employer

Reference 2011029262201data-portal.finra.orgdata-portal.finra.orgfinra.org