MICHAEL ANTHONY PERILLO

MICHAEL ANTHONY PERILLO is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 190 RIVER RD, [RBO], SUMMIT, NJ, 07901.

MICHAEL ANTHONY PERILLO has worked at WELLS FARGO CLEARING SERVICES, LLC since January 26, 2012

Disclosure History

MICHAEL ANTHONY PERILLO has 1 Disclosure Event(s).

Date: October 13, 1989
Category: Regulatory
Initiated By: STATE OF CT DEPT OF BANKING
Allegations: AS AN AGENT OF J T MORAN INC, PARTICIPATED INTHE SELLING OF UNREGISTERED SECURITIES
Resolution: Consent SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $950.00 Sanction Details: ON MAY 21,1990 MICHAEL ANTHONY PERILLO ENTEREDINTO A STIPULATION AGREEMENT WITH THE CT SECURITIES ANDBUSINESS INVESTMENTS DIVISION IN SETTLEMENT OF THE ALLEGATIONSRAISED IN A NOTICE OF INTENT TO REVOKE REGISTRATION AS AN AGENTAND A NOTICE OF INTENT TO FINE ISSUED ON OCTOBER 13,1989. INSETTLEMENT, MR. PARILLO HAS WITHOUT ADMITTING TO OR DENYING ANYVIOLATION OF LAW, AGREED TO PAY A FINE OF $950 AND TO CERTAINRESTRICTIONS ON HIS SOLICITATION AND SALE OF SECURITIES IN CT.
Broker Comment: DURING MY EMPLOYEMENT AS A FINANCIAL ADVISOR AT JT. MORAN FINANCIAL, THE FIRM FAILED TO COMPLETE THE FILING REQUIREMENTS FOR AN IPO OF J.T MORAN FINANCIAL IN THE STATE OF CT AND NEVER NOTIFIED THEIR FINANCIAL ADVISORS OF THE BLUE SKY VIOLATION.

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