South Florida Arbitration & Litigation Lawyer Blog
Boca Raton, Florida FINRA Arbitration Fraud, Mismanagement and Negligent Supervision Attorney, Russell L. Forkey, Esq.
October, 2011:
David Angelo Maltese (CRD #2562471, Registered Rep., Boca Raton, Florida) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Maltese consented to the described sanction and to the entry of findings that he failed to respond to a FINRA request to appear for investigative on-the-record testimony concerning an investigation into certain transactions he executed in customers’ accounts at his member firm. The findings stated that Maltese, through his counsel, stated that he would not appear for testimony. (FINRA Case #2008012546801).