JAMES V. MARINO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/04/2017: FINANCIAL INDUSTRY REGULATORY AUTHOIUTY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016052079001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James V. Marino Respondent Former Registered Representative CRD No. 6192459 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 is submitted on the
Reference 2016052079001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6192459

Other names1

Also known as1

James Vincent Marino

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