JAMES DANIEL DMEO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/05/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059491102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: James D'Meo, Respondent Former Investment Company and Variable Contracts Products CRD No. 1444759 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent James D'Meo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018059491102data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1444759

Other names1

Also known as1

James D'Meo

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