JOSEPH ABBONDANTE

04/05/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of DECISION Department of Enforcement, Complainant, vs. Joseph Abbondante Freehold, NJ, Respondent. Complaint No. C10020090, Dated: April 5, 2005 Respondent fraudulently misrepresented material facts and failed to disclose a material fact to customers; engaged in private securities transactions without giving his firm prior written notice and receiving prior written approval;

01/06/2006: SECURITIES AND EXCHANGE COMMISSION Washington D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 53066/January 6, 2006 Admin. Proc. File No. 3-11919 In the Matter of the Application of JOSEPH ABBONDANTE c/o Louis J. Maione, P.C. 228 River Vale Road River Vale, New Jersey 07675 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Provide Written Notice to, and Obtain Prior Approval From, Member Firm Employer

Reference C1020020090data-portal.finra.orgdata-portal.finra.orgfinra.org