DAVID C. CANNATA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. David C. Cannata (CRD No. 2408845), Respondent. DISCIPLINARY PROCEEDING No. 20130378570-01 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From March 2012 through April 2014, while associated with Craig Scott Capital, LLC ("CSC" or the "Firm"), Respondent David C. Cannata ("Cannata" or "Respondent") excessively traded and churned three customers' accounts. Therefore, Cannata
06/06/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID C. CANNATA (CRD No. 2408845), Respondent. Disciplinary Proceeding No. 2013037857001 Hearing Officer-DW DEFAULT DECISION June 6, 2016 Respondent David C. Cannata is barred from associating with any FINRA member firm in any capacity for (1) engaging in excessive trading in three customer accounts; (2) churning in those same accounts; and (3) failing to appear for testimony.
Reference 2013037857001data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2408845

Other names1

Also known as1

DAVID CHARLES CANNATA

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