Defendant Name:
Michael Szafranski
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Michael Szafranski
First Document Date
25-Nov-2015
Initial Filing Format
Administrative Action
File Number
3-16971
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at Bear, Stearns & Co., Inc. (2000—2001)
- Former: Broker/Registered Representative at Sochet & Company, Inc. (2002—2007)
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
First Resolution Date
25-Nov-2015
