JOEY GIAMICHAEL

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/15/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110260605 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joey Giamichael, Respondent CRD No. 3248158 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will
Reference 2011026060504data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/10/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Joey Giamichael (CRD No. 3248158), Respondent. Disciplinary Proceeding No. 2012031436601 Hearing Officer - RLP ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 10, 2013 INTRODUCTION Disciplinary Proceeding No. 2012031436601 was filed on May 23, 2013, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).
Reference 2012031436601data-portal.finra.org finra.org

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