FINRA.org will undergo scheduled maintenance Sunday, Nov. 1, from 8 p.m. to Monday, Nov. 2, 4 a.m. ET, with a brief five-minute outage during this window.
2018059717201 Stephen Paul Florio CRD 1186577 AWC va (2020-1600561166101).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059717201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen Paul Florio, Respondent General Securities Representative CRD No. 1186577 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Stephen Paul Florio submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Regulatory Notice 20-30
Summary
Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites.