South Florida Arbitration & Litigation Lawyer Blog
Cantone Research, Inc. and Christine L. Cantone:
The Financial Industry Regulatory Authority, Inc. (FINRA) is a self-regulatory authority assigned the responsibility, by the Securities and Exchange Commission, to license, regulate and discipline securities broker/dealers and their employees, including account executives. In the event that FINRA elects to institute and enforcement action, firms and licensed individuals have the responsibility to reflect such action of their U-4 and/or U-5 filings, which can be viewed on the FINRA website under the broker-check section of the site or by viewing the monthly disciplinary information also provided on the FINRA site.
The monthly disciplinary information is referenced on the site generally in alphabetical order. This post relates to the following company or individual. If the reader would like to review the entire FINRA release or the broker-check information, you can follow these highlighted links:
April 2012 Disciplinary and Other FINRA Actions
Broker Check: http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/
FINRA Case No. 2009020383002 – In April of 2012, the Financial Industry Regulatory Authority, Inc. (FINRA) issued a release advising that Cantone Research, Inc. and Christine L. Cantone submitted an Offer of Settlement, in a filed FINRA enforcement action, in which the firm, without admitting or denying the allegations made by FINRA, was censured, fined $25,000, $10,000 of which was jointly and severally with Christine Canton, and ordered to pay a total amount of $200,000 in partial restitution to customers, jointly and severally with Christine Cantone. In order to view a copy of the full release, please follow above the referenced links.