JOSEPH JAMES SCIARRA JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH JAMES SCIARRA, JR. (CRD No. 1576322), Respondent. Disciplinary Proceeding No. 2010022840501 Hearing Officer - MAD DEFAULT DECISION October 17, 2011 Respondent is barred from associating with any member firm in any capacity for converting customer funds, in violation of NASD Conduct Rules 2330(a) and 2110, and failing to respond to requests for information, in violation of FINRA
06/15/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. JOSEPH JAMES SCIARRA, JR., (CRD No. 1576322) Respondent. Disciplinary Proceeding No. 2010022840501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Joseph James Sciarra, Jr. (Sciarra), while employed by Delta Equity Services Corporation (Delta), converted a customer's funds by not applying the funds for the purpose intended by the customer, in violation of NASD Conduct Rule
Reference 2010022840501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1576322 |
Other names1
Also known as1
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.