MICHAEL ENGLESE JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/13/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. Michael Englese, Jr. (CRD No.3221850) RESPONDENT. Disciplinary Proceeding No. 2005002464701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2005 and March 2005, Respondent Michael Englese ("Englese" or "Respondent") executed purchases of AngeiCiti Entertainment (AGO), a penny stock, in at least three customer accounts. Englese recommended the AGCI purchases for
02/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MICHAEL ENGLESE, JR. (CRD No. 3221850), Respondent. Disciplinary Proceeding No. 2005002464701 Hearing Officer - AWH DEFAULT DECISION February 14, 2008 Formerly registered representative failed to comply with SEC penny stock disclosure rules, in violation of SEC Rules 15g-2, 15g-3, and 15g-5, and NASD Conduct Rule 2110, and failed to respond to FINRA staff requests for information, in violation of
Reference 2005002464701data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3221850 |
Other names1
Also known as1
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