MARK J. NUOVO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030390601 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Mark J. Nuovo, Respondent Former Registered Representative CRD No. 2010167 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2011030390601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2010167

Other names1

Also known as1

MARK JOHN NUOVO

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