FINRA Encorcement Actions – March, 2011

FINRA Arbitration Suitability and Over Concentration Fraud and Mismanagement Attorney, Russell L. Forkey, Esq.

March, 2011:

Craig Michael Bettencourt (CRD #3230665, Registered Representative, Concord, Massachusetts) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Read More.

John Brian Busacca III (CRD #2302780, Registered Principal, Orlando, Florida) was fined $30,000 and suspended from association with any FINRA member in any principal capacity for six months. Read More.

M. Paul De Vietien (CRD #1121492, Registered Representative, Tampa, Florida) was fined $16,000 and suspended from association with any FINRA member in any capacity for one year. Read More.