GREGORY JON MANCUSO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Gregory J. Mancuso CRD No. 5681691, Respondent. Disciplinary Proceeding No. 2020066608501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. While associated with former FINRA member firm BMA Securities, LLC (CRD No. 108219), Gregory J. Mancuso handled the accounts of two senior customers who were also sisters--Customers 1 and 2. Beginning in September 2017 and continuing
03/31/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. Gregory J. Mancuso (CRD No. 5681691), Respondent. Disciplinary Proceeding No. 2020066608501 Hearing Officer-DRS DEFAULT DECISION March 31, 2021 For providing false testimony during an on-the-record interview, in violation of FINRA Rules 8210 and 2010, Respondent Gregory J. Mancuso is barred in all capacities from associating with any FINRA member firm.
Reference 2020066608501data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5681691 |
Other names1
Also known as1
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.