DAVID SUPERCINSKI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/23/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAVID SUPERCINSKI, (CRD No. 1125410), Respondent. Disciplinary Proceeding No. 20070082087-01 Hearing Officer - RSH DEFAULT DECISION November 23, 2009 Respondent violated Conduct Rule 2110 by forging customer signatures and causing an unauthorized trade, and Procedural Rule 8210 and Conduct Rule 2110 by failing to respond to requests for information. For these violations, Respondent was barred from
05/27/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. David Supercinski (CRD No. 1125410) Respondent. Disciplinary Proceeding No. 20070082087-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. David Supercinski ("Supercinski") forged signatures on variable annuity applications and on other documents that he submitted to the member firm Woodbury Financial Services, Inc. ("Woodbury"). The three individuals whose signatures were forged had
Reference 2007008208701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1125410 |
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