DENNIS S. KAMINSKI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/16/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. MUTUAL SERVICE CORPORATION (CRD No. 4806), DENNIS S. KAMINSKI (CRD No. 1013459), SUSAN COATES (CRD No. 1563043), MICHAEL POSTON (CRD No. 1863133), DENISE ROTH (CRD No. 2749209), GARI C. SANFILIPPO (CRD No. 4151931), KEVIN L. COHEN (CRD No. 4527236), and Respondents. Disciplinary Proceeding No. EAF0400630001 Hearing Officer -- Andrew H. Perkins EXTENDED HEARING PANEL DECISION December 16, 2008
09/16/2011: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES AND EXCHANGE ACT OF 1934 Rel. No. 65347 / September 16, 2011 Admin. Proc. File No. 3-14054 In the Matter of the Application of DENNIS S. KAMINSK1 c/o Peter J. Anderson, Esq. Sutherland, Asbill & Brennan LLP 999 Peachtree Street, NE Atlanta, Georgia 30309-3996 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION - REVIEW OF DISCIPLINARY PROCEEDINGS Failure to Supervise Former principal of
Reference EAF0400630001data-portal.finra.org data-portal.finra.org finra.org

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