Michael Ralph Catania

Michael Ralph Catania (CRD #2725908, Registered Principal, Windsor, California) was fined $20,000 and suspended from association with any NASD member in any principal capacity for two years. The fine is due and payable when or if Catania seeks to return to the securities industry. The sanctions were based on findings that Catania failed to supervise the private securities transactions of a former registered representative and to record the representative's private securities transactions on the books and records of his member firm. The findings also stated that Catania failed to establish, maintain, and enforce a supervisory system reasonably designed to achieve compliance with NASD Conduct Rule 3040 regarding private securities transactions.

Catania's suspension began January 5, 2004, and will conclude at the close of business January 4, 2006. (NASD Case #C07030024)

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Contact Information

The Law Office of David Liebrader, Inc.


601 S. Rancho Drive, Ste.#D-29
Las Vegas, NV 89106
Phone: 702-380-3131
Fax: 702-380-3102
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