SERVING CLIENTS NATIONWIDE

Dominic Cammarota Barred for Possession and Use of Unauthorized Notes During Series 6 Exam

FINRA has barred Dominic Cammarota of Santa Ana, California for allegedly possessing and using unauthorized materials during his Series 6 examination. Successful completion of the FINRA-administered Investment Company Products/Variable Life Contracts Representative Exam—also called the Series 6 Exam—authorizes individuals to sell mutual funds, unit investment trusts, variable annuities and variable life insurance.

FINRA Case #2011030032101

While associated with SagePoint Financial, Cammarota took the Series 6 test in 2011 at a Lake Forest testing center. Despite electronically accepting the testing center's Rules of Conduct, Cammarota was found to have broken the rules by improperly possessing and using unauthorized notes relating to the subject matter of the Series 6 examination.

Though Dominic Cammarota's misconduct has resulted in industry banishment, if you suspect a broker, advisor or representative's performance may indicate a violation of FINRA or firm rules and this activity has proven harmful to you or your financial interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

Categories