December 14, 2015
Former Merrill Lynch and PNC Investments stockbroker Chris Calia (CRD# 4807042) of Boca Raton, Florida entered into a Letter of Acceptance, Waiver and Consent to resolve allegations FINRA made against him regarding violations of securities industry rules.
Calia consented, without admitting or denying the allegations made against him by FINRA, to a permanent bar from associating with any FINRA member firm in any capacity in resolution of FINRA Disciplinary Proceeding No. 2013038224201. FINRA alleged that “[d]uring the course of an ongoing FINRA investigation, Calia failed to appear and provide complete testimony as requested by FINRA staff on numerous occasions. As a result, Calia violated FINRA Rules 8210 and 2010.” FINRA’s investigation was focused on “allegations of misconduct by Calia, while associated with the Firm [Merrill Lynch]. These allegations included that Calia created records that resulted in him receiving incentive compensation to which he was not entitled.”
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