DENNIS COTTO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/06/2008: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Harvest Capital Investments, LLC Vienna, VA, and Dennis Cotto Vienna, VA, Respondents. DECISION Complaint No, 2005001305701, Dated: October 6, 2008 Cotto functioned in a principal capacity without being registered; respondents failed to respond completely to written requests for
09/27/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITYS OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. HARVEST CAPITAL INVESTMENTS, LLC (CRD No. 40367), and DENNIS COTTO (CRD No. 3047293), Respondents. Disciplinary Proceeding No. 2005001305701 Hearing Panel Decision and Order Granting, In Part, Complainant's Motion for Summary Disposition Hearing Officer-SW Dated: September 27, 2007
Reference 2005001305701data-portal.finra.org data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3047293

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