Denise Ann Cerveny, of Secaucus, New Jersey, a stockbroker formerly registered with Regal Securities, Inc., has been fined $7,500.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she altered the new account documentation of twenty of the firm’s customers by cutting and pasting signatures of customers on documents which customers maintained with a firm which Cerveny had previously been associated with. Letter of Acceptance, Waiver and Consent, No. 2015043657201 (July 14, 2016). FINRA found that Cerveny’s conduct was violative of FINRA Rule 2010.

FINRA Public Disclosure reveals that on June 4, 2015, Cerveny was terminated from Regal Securities, Inc. based upon allegations that Cerveny committed violations of the firm’s procedures and policies by failing to notify the firm regarding a customer complaint and failing to provide the firm with disclosure of Cerveny’s outside business activities.

Since April 19, 1999, Cerveny has been associated with seven different broker dealers, three of which have been expelled by securities regulators for violation of federal securities laws or are otherwise defunct.

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com 

Tags:

Comments are closed.