SCOTT THOMAS VALENTE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/24/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, Scott Thomas Valeate, CRD No. 1177354, Respondent. Disciplinary Proceeding No. 2006007370402 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT Date: April 24,2009 INTRODUCTION Disciplinary Proceeding No. 2006007370402 was filed on February 12,2009, by the Department of Enforcement of the Financial Industry Regulatory
02/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. SCOTT THOMAS VALENTE (CRD No. 1177354), RESPONDENT. DISCIPLINARY PROCEEDING NO.2006007370402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. At various times from January 2003 through March 2005, Scott Thomas Valente engaged in excessive and unsuitable trading in the accounts of eight customers,
Reference 2006007370402data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1177354 |
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