MARCELO ASSIS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006006758901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Marcelo Assis, Respondent CRD No. 5137579 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I, Marcelo Assis, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2006006758901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5137579

Other names1

Also known as1

MARCELO L ASSIS

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