Frank E. Lumpuy
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2025: From September 2014 through December 2023, while associated with Kovack, Lumpuy engaged in an outside business activity without providing Kovack with complete and accurate written notice of his activities, in violation of FINRA Rules 3270 and 2010. As a result of these violations, Lumpuy has agreed to a two-month suspension from associating with any FINRA member in all capacities and a $5,000 fine.
Reference 2024081209801data-portal.finra.orgfinra.org
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