ANTHONY CIPRIANO

08/10/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANTHONY CIPRIANO (CRD No. 2998665), Respondent Disciplinary Proceeding No. C07050029 Hearing Officer-Andrew H. Perkins HEARING PANEL DECISION August 10, 2006 The Respondent failed to disclose material financial information concerning a speculative stock he recommended to four customers, and made unreasonable price predictions for the stock, all In violation of Section 10(b) of the Securities Exchange Act of 1934,

04/15/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Anthony Cipriano General Securities Representative CRD No. 2998665, and Anthony Whitter General Securities Representative CRD No. 2733252, Respondents. Upon information and belief, Complainant alleges as follows: 1. Respondent Anthony Cipriano entered the securities industry in about January 1998 and was first registered as a general securities representative

07/26/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Anthony Cipriano West Islip, NY, Respondent. Respondent failed to disclose material information and made baseless price predictions when recommending a speculative stock to several customers, in violation of the antifraud provisions of the federal securities laws and NASD rules. Held, Hearing Panel's findings affirmed and sanctions modified.

Reference C07050029data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org