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2018058588501 Christopher Peter Tranchina CRD 5657849 NAC Decision jlg (2023-1683418806443).pdf

BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Christopher Peter Tranchina, Neptune, N.J., Respondent. Decision Complaint No. 2018058588501 Dated: March 23, 2023 Respondent acted unethically when he gained unauthorized access to firm information by breaking into his former employer’s office after business hours and removing customer files. Respondent failed to timely amend his Form U4 to disclose related criminal proceedings.