USA: Florida registered principal fined, suspended by FINRA
Posted by nileshkokane on 6 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 Stanley Kaminski of Wellington, Florida was fined $50,000, suspended from association with any FINRA member in any capacity for 18 months and required to requalify before acting in any capacity requiring qualification. The Securities and Exchange Commission (SEC) sustained the sanctions following appeal of the NAC decision. The sanctions were based on findings that Kaminski failed to supervise the timely review of his member firm’s variable annuity trades.
The original article can be found at Financial Industry Regulatory Authority.
