ENRICO FRANCO is currently employed as a Broker and/or Investment Adviser at TFS SECURITIES, INC. located at 437 NEWMAN SPRINGS ROAD, LINCROFT, NJ, 07738.
ENRICO FRANCO has worked at TFS SECURITIES, INC. since May 07, 2015
Disclosure History
ENRICO FRANCO has 2 Disclosure Event(s).
Date: June 30, 2010 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: August 30, 2007 Category: Regulatory Initiated By: FINRA Allegations: RESPONDENT FRANCO FAILED TO COMPLY WITH AN ARBITRATION AWARD OR SETTLEMENT AGREEMENT OR TO SATISFACTORILY RESPOND TO A FINRA REQUEST TO PROVIDE INFORMATION CONCERNING THE STATUS OF COMPLIANCE. Resolution: LETTER SanctionDetails: Sanctions: Suspension SanctionDetails:Registration Capacities Affected: ANY CAPACITY Duration: N/A Start Date: 8/30/2007 End Date: 3/12/2012 Regulator Statement: PURSUANT TO ARTICLE VI, SECTION 3 OF NASD BY-LAWS, AND NASD RULE 9554, RESPONDENT FRANCO'S FINRA REGISTRATION IS SUSPENDED AUGUST 30, 2007 FOR FAILURE TO COMPLY WITH AN ARBITRATION AWARD OR SETTLEMENT AGREEMENT OR TO SATISFACTORILY RESPOND TO AN NASD REQUEST TO PROVIDE INFORMATION CONCERNING THE STATUS OF COMPLIANCE. SUSPENSION LIFTED MARCH 12, 2012. Broker Comment: MR. FRANCO IS REQUIRED TO RETEST FOR THE S6 WITH CURRENT BROKER DEALER TFS SECURITIES, INC.; EXAM IS SCHEDULED FOR 5/7/2015.
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