JOHN LEWIS GROSSO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045436301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Lewis Grosso (CRD No. 4564852) Respondent Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Lewis Grosso, 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 2015045436301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4564852 |
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