ANGELO BARCELO III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Angelo Barcelo III (CRD No. 4394074), Respondent. DISCIPLINARY PROCEEDING No. 2012034046801 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Angelo Barcelo III ("Barcelo") converted $5,796.00 from a fictitious account that he created. He also failed to respond to FINRA Staffs requests for information. This conduct violated FINRA Rules 2010 and 8210.
05/02/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANGELO BARCELO III (CRD No. 4394074), Respondent. Disciplinary Proceeding No. 2012034046801 Hearing Officer - CC DEFAULT DECISION May 2, 2014 Respondent is barred in all capacities for converting firm funds and failing to respond to multiple requests for information and documents, in violation of FINRA Rules 8210 and 2010.
Reference 2012034046801data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4394074 |
Other names1
Also known as1
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