SAMUEL PHILIP-JAMES CANNIZZARO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Samuel Philip-James Cannizzaro (CRD No. 5041027), Respondent. DISCIPLINARY PROCEEDING No. 2014041637701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Samuel Philip-James Cannizzaro ("Cannizzaro" or "Respondent") was the owner of an independent insurance agency affiliated with State Farm VP Management Corp. ("State Farm"). 2. Between December 2012 and December 2013
10/10/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Samuel Philip-James Cannizzaro, CRD No. 5041027, Respondent. Disciplinary Proceeding No. 2014041637701 Hearing Officer: DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: October 10, 2016 INTRODUCTION Disciplinary Proceeding No. 2014041637701 was filed on June 10, 2016, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Samuel
Reference 2014041637701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5041027

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.