FAUSTO E. CALLAVA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/11/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. FAUSTO E, CALLAVA (CRD No. 4139260), Respondent. Disciplinary Proceeding No. E072004088501 Hearing Officer—Andrew H. Perkins HEARING PANEL DECISION September 11, 2006 Respondent violated NASD Conduct Rule 2110 by selling unregistered securities in violation of Section 5 of the Securities Act of 1933, falsifying documents associated with the sale of unregistered
Reference E072004088501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4139260 |
Other names1
Also known as1
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