Tag Archives: Anthony Paul Lombardi

Capital Financial Services Stockbroker Suspended For Outside Business Activites

November 02, 2016  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Anthony Paul Lombardi, of Carlsbad, California, a stockbroker formerly registered with Capital Financial Services, was fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2014042740201 (Oct. 24, […]

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