Daniel Della Rosa
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/23/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Della Rosa CRD No. 2468171, Respondent. Disciplinary Proceeding No. 2020065714602 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Respondent Daniel Della Rosa failed to provide information and documents and also failed to appear for on-the-record (OTR) testimony requested by FINRA staff pursuant to FINRA Rule 8210. The documents, information and testimony requested were material to
12/16/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel Della Rosa CRD No. 2468171, respondent. Disciplinary Proceeding No. 2020065714602 Hearing Officer—DDM ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 16, 2021 Disciplinary Proceeding No. 2020065714602 was filed on November 23, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel Della Rosa submitted an Offer of
Reference 2020065714602data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2468171 |
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