David C. Cannata, of Uniondale, New York, a stockbroker with Craig Scott Capital, LLC, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity per a Default Decision containing findings that he engaged in excessive trading and churning, and failed to cooperate in a FINRA investigation into his misconduct. Department […]
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Tag Archives: David C. Cannata
Craig Scott Capital Stockbroker Barred For Securities Fraud
June 30, 2016 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Investment and Regulatory News, Securities Fraud | 0 Comments
Craig Scott Capital Stockbroker Charged with Churning
January 04, 2016 | Posted by : Guiliano Law Group | Churning, Excessive Markups, FINRA Securities Arbitration, Investment and Regulatory News | 0 Comments
David C. Cannata of Uniondale, New York, a stockbroker with Craig Scott Capital, LLC, was charged by the Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Cannata excessively traded and churned customer accounts; and also failed to comply with a FINRA investigation into his alleged misconduct. Department of Enforcement v. […]
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