Ann Maria Ferrao

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Effective
31 Aug 2015
US Federal Reserve Enforcement Actions
Federal Reserve BoardUS Federal Reserve Enforcement ActionsUnited States
Section 19 Letters
Programme US-FED-ENFfederalreserve.gov federalreserve.gov
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/14/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20140404384 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ann Maria Ferrao, Respondent CRD No. 4481123 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.
Reference 2014040438401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4481123

Supporting documents1

Untitled document
https://www.federalreserve.gov/boarddocs/legaldevelopments/ordersother/section19/2015/20150831.pdf

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