NICHOLAS R PALUMBO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066651001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Nicholas R. Palumbo (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 1069948 Pursuant to FINRA Rule 9216, Respondent Nicholas R. Palumbo submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066651001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1069948

Other names1

Also known as1

Nicholas R. Palumbo

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