Brian Joseph Panfil
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS NO. 2015045549301 DEPARTMENT OF ENFORCEMENT, Complainant v. BRIAN JOSEPH PANFIL (CRD No. 4326407), Respondent. Disciplinary Proceeding No. 2013038124102 Hearing Officer-RES DEFAULT DECISION April 6, 2018 Respondent is barred from associating with any FINRA member in any capacity. He effected unsuitable mutual fund switches in four customer accounts, forged or caused to be forged customer signatures on mutual fund switch forms, and exercised
11/20/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Brian Joseph Panfil, (CRD No. 4326407), Respondent. Disciplinary Proceeding No. 2015045549301 Hearing Officer ___ COMPLAINT The Department of Enforcement alleges: SUMMARY 1. For a three-year period between April 2012 to March 2015, Respondent and registered representative Brian Panfil
Reference 2015045549301data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4326407 |
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