Proceeding Number 20070094253

Hearing Panel Decision in Department of Enforcement v. Richard J. Iavecchia

October 1, 2009

Respondent Richard J. Iavecchia is suspended from associating with any FINRA member firm in any capacity for 60 days and is fined $3,500 for (i) making misrepresentations on compliance forms issued by his member firm employer, in violation of Conduct Rule 2110, and (ii) failing to inform his member firm employer of brokerage accounts opened in his wife's name with other firms and, in turn, failing to inform those firms of his association with his member firm employer, in violation of Conduct Rules 2110 and 3050.

View Decision (PDF 118 KB)