USA: Disciplinary action filed against Florida individual
Posted by nileshkokane on 2 February, 2012
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This item was filled under [ Financial Regulators, USA ]
As published in the Financial Industry Regulatory Authority (FINRA) disciplinary actions report for January 2012, Dennis Flanagan Jr. of Miami, Florida has submitted an Offer of Settlement in which he was fined $25,000 and suspended from association with any FINRA member in any capacity for two years. The fine must be paid either immediately upon Flanagan’s reassociation with a FINRA member firm following his suspension, or prior to the filing of any application or request for relief from any statutory disqualification, whichever is earlier.
The original article can be found at Financial Industry Regulatory Authority.
