Tag Archives: Michael Ciro Colletti

National Security Broker Fined For Failure To Supervise

Michael Ciro Colletti of Melville New York is a stockbroker formerly registered with National Securities Corporation who has been fined seven thousand five-hundred dollars and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Order Accepting Offer of Settlement containing findings that Colletti failed […]

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National Securities Charged With Failure To Supervise

September 22, 2017  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Michael Ciro Colletti, of Melville, New York, a stockbroker formerly registered with National Securities Corporation, was named in a Financial Industry Regulatory Authority (FINRA) Complaint containing allegations that he did not supervise the firm’s cold caller representatives, who utilized scripts for speaking with customers that contained inappropriate and possible investment misrepresentations. Department of Enforcement v. […]

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