ANDREW CAPUTO SPAVENTA is currently employed as a Broker and/or Investment Adviser at NETWORK 1 FINANCIAL SECURITIES INC. located at 33 Walt Whitman Road, Suite 231, Huntingon Station, NY, 11746.
ANDREW CAPUTO SPAVENTA has worked at NETWORK 1 FINANCIAL SECURITIES INC. since September 13, 2017
Disclosure History
ANDREW CAPUTO SPAVENTA has 4 Disclosure Event(s).
Date: April 07, 2018 Category: Customer Dispute Allegations: Churning, negligence, unsuitability, unauthorized trading, breach of contract Damage Amount Requested: $114,357.00
Date: September 05, 2014 Category: Regulatory Initiated By: FLORIDA OFFICE OF FINANCIAL REGULATION Allegations: MAKING A MATERIAL FALSE STATEMENT ON THE APPLICATION FOR REGISTRATION. Resolution: Order SanctionDetails: Sanctions: Denial Broker Comment: ON 10/17/2014, THE OFFICE OF FINANCIAL REGULATION ISSUED A FINAL ORDER, DENYING ANDREW CAPUTO SPAVENTA'S APPLICATION FOR REGISTRATION AS AN ASSOCIATED PERSON OF SALOMON WHITNEY LLC AFTER HE FAILED TO REQUEST A HEARING. THE FINAL ORDER FOLLOWS A NOTICE OF INTENT TO DENY WHICH ALLEGED MR. SPAVENTA MADE A MATERIAL MISREPRESENTATION OR MISSTATEMENT ON HIS APPLICATION FOR REGISTRATION.
Date: August 24, 2010 Category: Criminal Charges: CRIMINAL CONTEMPT Disposition: Dismissed Amended Charges: REDUCED TO CLASS A MISDEMEANOR THEN REDUCED TO V Amended Charge Type: OTHER Amended Charge Amended Charge Disposition: CONDITIONAL DISCHARGE
Date: January 05, 2010 Category: Criminal Charges: CRIMINAL CONTEMPT Disposition: Dismissed Amended Charges: CHARGE WAS REDUCED FROM CLASS E FELONY TO CLASS A MISDEMEANOR Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: Pled guilty
More Information
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