CHARLES CAPUTO JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/27/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHARLES CAPUTO, JR. (CRD No. 2715387), Respondent. Disciplinary Proceeding No. 2009016885101 Hearing Officer LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: 7/27/11 INTRODUCTION Disciplinary Proceeding No. 2009016885101 was filed on April 29, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA)
04/29/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. CHARLES CAPUTO, JR. (CRD No. 2715387), RESPONDENT. DISCIPLINARY PROCEEDING No. 2009016885101 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From approximately April 2004 through May 2008, while registered with FINRA at Basic Investors Inc. ("Basic"), Respondent Charles Caputo ("Caputo") presented falsified account statements for the accounts of AB and B Inc. to AB,
Reference 2009016885101data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2715387 |
Other names1
Also known as1
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