September 19, 2022
Albert L. DeGaetano submitted an Acceptance, Waiver, and Consent (AWC). Without admitting or denying the claims, DeGaetano accepts and consents to the following findings: Violating FINRA Rule 2010 when he executed securities transactions without first obtaining authorization and violating FINRA Rule 2010 when he made inaccurate statements about his employer and job title. DeGaetano consented to the following sanctions: a 6-month suspension and a $7,500 fine.
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