CHARLES J. CUOZZO JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/29/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. CHARLES J. CUOZZO, JR. (CRD No. 3123060), Respondent. Disciplinary Proceeding No. C9B050011 Hearing Officer - RSH HEARING PANEL DECISION November 29, 2005 Respondent violated Conduct Rule 2110 and IM-2310-2 by falsifying firm records and forging a customer's initials. For these violations, Respondent is fined $5,000 and suspended from associating in any capacity with any member firm for one year. Appearances David B. Klafter, Esq.
02/27/2007: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Charles J. Cuozzo, Jr. Verona, NJ, Respondent. DECISION Complaint No. C9B050011 Dated: February 27, 2007 Registered representative inserted false dates on firm documents and included a false statement on a firm document. Held, findings of violations and sanctions modified. Appearances For the Complainant: Leo F. Orenstein, Esq., Department of Enforcement, NASD For the Respondent: Kevin Conway, Esq.,
Reference C9B050011data-portal.finra.orgdata-portal.finra.orgfinra.org
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