Defendant Name:
Anthony A. Falsetta
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Anthony A. Falsetta
First Document Date
31-Aug-2021
Initial Filing Format
Administrative Action
File Number
3-20505
Allegation Type
Municipal Securities & Public Pensions
Violations Alleged
•
Rules G-17, G-11(k) MSRB
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)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
31-Aug-2021
Headline Total Penalty and Disgorgement
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