MARC STEPHEN BORIOSI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/13/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004050901 TO: Department of Enforcement NASD RE: Marc Stephen Boriosi, Respondent General Securities Representative CRD No. 2980789 Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Marc Stephen Boriosi ("Boriosi") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will
Reference E9B2004050901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2980789 |
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