NOTE: Stipulations of Fact and Consent to Penalty (SFC); Offers of Settlement (OS); and Letters of Acceptance Waiver, and Consent (AWC) are entered into by Respondents without admitting or denying the allegations, but consent is given to the described sanctions & to the entry of findings. Additionally, for AWCs, if FINRA has reason to believe a violation has occurred and the member or associated person does not dispute the violation, FINRA may prepare and request that the member or associated person execute a letter accepting a finding of violation, consenting to the imposition of sanctions, and agreeing to waive such member's or associated person's right to a hearing before a hearing panel, and any right of appeal to the National Adjudicatory Council, the SEC, and the courts, or to otherwise challenge the validity of the letter, if the letter is accepted. The letter shall describe the act or practice engaged in or omitted, the rule, regulation, or statutory provision violated, and the sanction or sanctions to be imposed.

Antonio Gata Bolinao Sr.
AWC/2009017831001

Bolinao willfully failed to disclose material information on his Form U4. Bolinao submitted Business Practice Questionnaires to his firm and each time falsely denied the existence of any liens or judgments against him. Bolinao did not acknowledge the existence of the undisclosed information until after his member firm learned of the information during its investigation of an unrelated customer complaint. Bolinao subsequently stated that he did not disclose the information because he believed that the firm would terminate him.

Antonio Gata Bolinao Sr.: Fined $5,000; Suspended 9 months

Tags: Willfully