Frank J. Bodi
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/30/2025: Between September 2022 and June 2023, Bodi exercised discretion without prior written authorization in connection with 61 transactions in three customer accounts. As a result, Bodi violated FINRA Rules 3260(b) and 2010...
Reference 2023079079001finra.orgdata-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/21/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, NAIVER AND CONSENT NO. 2014041310601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Frank J. Bodi (CRD No. 1107838) General Securities Representative Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Frank Bodi ("Bodi" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014041310601data-portal.finra.orgfinra.org
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