MARK J SANPIETRO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/26/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003836501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mark J. Sanpietro, Respondent General Securities Principal CRD No. 2794564 Pursuant to NASD 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 condition that,
Reference 2006003836501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2794564

Other names1

Also known as1

MARK J. SANPIETRO

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