FINRA Suspends Vincent Catanzaro for Alleged Misconduct

Vincent Catanzaro (CRD #: 2566951), a broker registered with Equity Services, has been suspended by FINRA, according to his BrokerCheck record, accessed on November 14, 2024. Read on to learn more about his alleged conduct as a broker.

FINRA Suspension

On October 8, 2024, Vincent Catanzaro consented to the entry of findings that he allegedly falsely certified to the State of New York that he had personally completed the continuing education required to renew his state insurance license in April 2023.

Instead, a Letter of Acceptance, Waiver & Consent (AWC) alleges that another person completed the required 15 hours of continuing education credits on Vincent Catanzaro’s behalf in March 2023.

The AWC concluded that this alleged misconduct constituted a violation of FINRA Rule 2010.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

Vincent Catanzaro consented to the following sanctions:

• 1-month suspension from associating with FINRA members
• $5,000 fine

His suspension began on November 4 and will end on December 3, 2024.

You can access the full AWC here.

Background Information

Vincent Catanzaro has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 7 – General Securities Representative Examination

Vincent Catanzaro is a registered broker in New York and North Carolina.

He has also worked for the following firms:

• NYLIFE Securities (CRD#:5167)
• National Securities Corporation (CRD#:7569)
• Quest Capital Strategies (CRD#:16783)
• J.P. Turner & Company (CRD#:43177)
• Northwestern Mutual Investment Services (CRD#:2881)
• Benson York Group (CRD#:40231)
• Cantella & Company (CRD#:13905)
• Global Capital Markets (CRD#:16191)
• Whale Securities Company (CRD#:13516)
• Prime Charter Ltd. (CRD#:25668)
• Lloyd Wade Securities (CRD#:39653)
• Joseph Dillon & Company (CRD#:35220)
• The J.B. Sutton Group (CRD#:16191)
• H G I (CRD#:14079)

Kurta Law Can Help

If you worked with Vincent Catanzaro and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.