DONALD ANDREW BARTELT

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, V. Newport Coast Securities, Inc., CRD No. 16944; Douglas A. Leone, CRD No. 2453784; Marc A. Arena, CRD No. 2754309; Roman Tyler Luckey, CRD No. 2977054; Andre V. LaBarbera, CRD No. 2072370; David M. Levy, CRD No. 2255938; Antonio Costanzo, CRD No. 2580765; and Donald A. Bartelt, CRD No. 1377935 Respondents. DISCIPLINARY PROCEEDING No. 2012030564701 COMPLAINT The Department of Enforcement
10/17/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, V. DAVID M. LEVY (CRD No. 2255938), ANTONIO COSTANZO (CRD No. 2580765), and DONALD A. BARTELT (CRD No. 1377935), Respondents. Disciplinary Proceeding No. 2012030564701 Hearing Officer-DMF DEFAULT DECISION October 17, 2016 Summary (1) Each Respondent recommended quantitatively unsuitable trading in, and churned, the accounts of customers; (2) Respondents Levy and Costanzo recommended
Reference 2012030564701data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1377935

Other names1

Also known as1

Donald A. Bartelt

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