Francis Joseph Velten Jr., of New Port Richey, Florida, a stockbroker registered with Summit Brokerage Services Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Velten failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. Department of Enforcement v….
Francis Joseph Velten Jr. of New Port Richey, Florida, a stockbroker formerly registered with Ameriprise Financial Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because he failed to cooperate in a FINRA investigation. Case No. 2020066032801 (July 19, 2022). According to the Default Decision, Velten…