John B. Guyette
Financial crimeUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, v. NICHOLAS D. SKALTSOUNIS (CRD No. 825000), RICHARD LANDI (CRD No. 1336947), AND JOHN B. GUYETTE, (CRD No. 1711681), RESPONDENTS. DISCIPLINARY PROCEEDING NOS. 20090188190 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From August 2008 through November 2008, Community Bankers Securities, LLC (the "Firm") recommended and sold securities issued by a company known as Medical Provider
12/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. NICHOLAS D. SKALTSOUNIS (CRD No. 825000), RICHARD E. LANDI (CRD No. 1336947) and JOHN B. GUYETTE (CRD No. 1711681), Respondents. Disciplinary Proceeding No. 2009018819001 Hearing Officer - MC EXTENDED HEARING PANEL DECISION December 6, 2011 Respondent John B. Guyette (i) misrepresented and omitted material facts when he sold securities to customers, violating Section 10 (b) of the Securities
Reference 2009018819001finra.orgdata-portal.finra.orgdata-portal.finra.org
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