DEAN KAPLANIDIS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/27/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DEAN KAPLANIDIS (CRD No. 2832379), Respondent. Disciplinary Proceeding No. 2011025975301 Hearing Officer-LBB DEFAULT DECISION Date: September 27, 2012 Respondent is barred for conversion of customer funds, in violation of NASD Rules 2330(a) and 2110, and FINRA Rules 2150 and 2010. Respondent is further barred for failure to respond to requests for information, in violation of FINRA Rules 8210 and
05/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dean Kaplanidis (CRD No. 2832379), Respondent. DISCIPLINARY PROCEEDING NO. 2011025975301 The Department of Enforcement alleges: SUMMARY 1. Beginning in approximately December 2006 and continuing through June 2010, Kaplanidis engaged in a scheme to convert approximately $145,184.00 from customer AM for his own use. 2. On July 28, 2011, Kaplanidis pled guilty to felony Grand Larceny in
Reference 2011025975301data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2832379 |
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