Michael Charles Grande

04/24/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Michael Charles Grande CRD No. 1219255, Respondent. Disciplinary Proceeding No. 2018060128401 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. On November 13, 2023, and November 28, 2023, FINRA sent Respondent Michael Charles Grande (“Grande”) request letters pursuant to FINRA Rule 8210, requiring him to provide information related to mutual fund transactions that he recommended to customers. Grande failed to provide information in response to these requests. As a result, Grande violated FINRA Rules 8210 and 2010.

08/16/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL CHARLES GRANDE (CRD No. 1219255), Respondent. Disciplinary Proceeding No. 2018060128401 Hearing Officer–BDC AMENDED DEFAULT DECISION1 August 16, 2024 Respondent is barred from associating with any FINRA member firm in any capacity for failing to provide information requested in connection with a FINRA investigation, in violation of FINRA Rules 8210 and 2010. Appearances For the Complainant: Isaiah Sakany, Esq., Albert A. Starkus, III, Esq., Rebecca Carvalho, Esq., and Michael Manly, Esq., Department of Enforcement, Financial Industry Regulatory Authority For the Respondent: No appearance DECISION I. Introduction The Department of Enforcement filed a Complaint against Respondent Michael Charles Grande alleging that he failed to provide information that FINRA requested in connection with an investigation into whether certain mutual fund recommendations he made to customers were suitable. As a re

Reference 2018060128401data-portal.finra.orgdata-portal.finra.orgfinra.org