Defendant Name:
Anthony Portelli
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Anthony Portelli
First Document Date
22-Jun-2017
Initial Filing Format
Administrative Action
File Number
3-18042
Allegation Type
Broker Dealer
Affiliations
- Former: Managing Director at ITG Inc. (March 2010—October 2016)
- Former: Head of Operations at ITG Inc. (2010—2014)
Violations Alleged
•
Failure to supervise under Section 15(b) Exchange Act
Resolutions
Bars:
- Bar on association in a supervisory capacity with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization for 18 months
First Resolution Date
22-Jun-2017
Headline Total Penalty and Disgorgement
$100,000
