TIMOTHY PETER CIRAULO is currently employed as a Broker and/or Investment Adviser at HENNION & WALSH, INC. located at 105 E Atlantic Avenue, Suite 200, Delray Beach, FL, 33444.
TIMOTHY PETER CIRAULO has worked at HENNION & WALSH, INC. since December 13, 2013
TIMOTHY PETER CIRAULO has 4 Disclosure Event(s).
Date: September 01, 2016 Category: Regulatory Initiated By: Florida Office of Financial Regulation Allegations: Conducted investment advisory business from offices within this state without the benefit of lawful registration. Resolution: Order SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $10,000.00 Broker Comment: Mr. Ciraulo was at all times in compliance with his firm's requirements and believed he was properly registered. The Order states that the firm confirmed that the lack of registration was due to an oversight on the its part.
Date: August 01, 1994 Category: Customer Dispute Allegations: CLAIMANT CONTENDS THAT VARIOUS CHECKSAGGREGATING THE SUM OF $10,000 WERE ISSUED IN THE NAME OFCLAIMANT BUT WERE CONVERTED BY HIS FATHER, [FAMILY MEMBER], TOHIS FATHER'S PERSONAL USE WITHOUT THE KNOWLEDGE OR CONSENT OFTHE CLAIMANT. Damage Amount Requested: $21,068.11 Damages Granted: $2,777.00 Broker Comment: AWARD IN FAVOR OF CLAIMANT FOR $2,000 PLUS$777.00 IN INTEREST FOR A TOTAL OF $2,777.00COMPREHENSIVE ISSUED ALL CHECKS IN CLAIMANT'SNAME AND TO THE CLAIMANT'S ADDRESS ON OUR SCREENS. CLAIMANT'SFATHER, [FAMILY MEMBER]. APPARENTLY INTERCEPTED THE CHECKSAND CONVERTED THEM FOR HIS PERSONAL USE. THE PAYING BANK WASCONTACTED BUT CLAIMS THE CHECKS WERE PROPERLY PAID. RESPONDENTSFILED A COMPLAINT AGAINST CLAIMANT'S FATHER WITH THE LOCALPOLICE DEPARTMENT BUT CLAIMANT REFUSES TO PRESS CHARGES.
Date: March 13, 1991 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGED THAT HIS BROKER, [OTHER FIRM EMPLOYEE], WHO IS ALSO HIS NEPHEW, PURCHASED UNSUITABLEINVESTMENTS AND MADE UNAUTHORIZED TRADES ON HIS BEHALF.CLAIMANT SAID HE WAS AN UNSOPHISTICATED INVESTOR AND ONLY HAD A10TH GRADE EDUCATION. Damage Amount Requested: $24,860.77 Damages Granted: $14,498.89 Broker Comment: RESPONDENTS [OTHER FIRM EMPLOYEES], ANDTIMOTHY CIRAULO WERE FOUND LIABLE, JOINT AND SEVERAL, FOR AWARDOF $15,351.11. REQUEST FOR PUNATIVE DAMAGES AND ATTORNEY'S FEESWERE DENIED. TIMOTHY CIRAULO CONTRIBUTED 940.86 TO THE FINALSETTLEMENT, REFLECTING APPROXIMATELY 5% OF AWARD INCLUDINGDEFENSE ATTORNEY FEES. [OTHER FIRM EMPLOYEES] SPLIT THEREMAINDER.I, TIMOTHY CIRAULO, WAS NAMED AS RESPONDENT INTHE ARBITRATION, CLAIMANT WAS [OTHER FIRM EMPLOYEE'S] UNCLE, AND THEYBOTH COMMUNICATED EVERY MORNING. I WAS FIRST MADE AWARE OF THEPROBLEM [CUSTOMER] HAD WHEN HE CALLED TO LIQUIDATE HISPORTFOLIO ON JANUARY 25, 1991.
Date: December 20, 1990 Category: Regulatory Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTORPROTECT*See FAQ #1* Allegations: Not Provided Resolution: Stipulation and Consent Sanction Details: ON JULY 24, 1992, THE FLORIDA DEPARTMENT OFBANKING AND FINANCE ENTERED INTO A STIPULATION AND CONSENTAGREEMENT AND FINAL ORDER WITH RESPONDENTS G. K. SCOTT & CO.,INC., GEORGE KEVORKIAN, MICHAEL CZAJA, MICHAEL ROBERTS, FREDCIRILLO, R. PETER SAUER, TIMOTHY CIRAULO AND MARK CZAJA. ALLRESPONDENTS AGREE TO CONDUCT ALL BUSINESS AFFAIRS IN COMPLIANCEWITH CHAPTER 517, FLORIDA STATUTES, AND THE RULES PROMULGATEDTHEREUNDER; AGREE TO NOT SELL OR OFFER FOR SALE DESIGNATEDSECURITIES EXCEPT FOR UNSOLICITED TRADES AND AGREE TO REIMBURSETHE DEPARTMENT'S ANTI-FRAUD TRUST FUND FOR INVESTIGATION COSTSAS FOLLOWS: G.K. SCOTT - $2500; MICHAEL CZAJA - $250; M.ROBERTS - $250; R.P. SAUER - $250; T. CIRAULO - $250; MARKCZAJA - $250; G. KEVORKIAN - $625.
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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