VALENTINO INFANTE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. VALENTINO INFANTE (CRD No. 5707731), Respondent. Disciplinary Proceeding No. 2013038021001 Hearing Officer-MAD DEFAULT DECISION December 21, 2015 Respondent is barred from associating with any member firm in any capacity for: (1) engaging in outside business activities without providing his employer with prior written notice; (2) providing false responses on an annual
07/13/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Valentino Infante (CRD No. 5707731), Respondent. DISCIPLINARY PROCEEDING No. 2013038021001 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From in or about August 2012 through at least in or about October 2012, Respondent engaged in unapproved outside business activities by twice soliciting a customer of his FINRA-member broker-dealer employer to provide funding for
Reference 2013038021001data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5707731 |
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