FREDRIC JOSEPH PALMIERI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006005437501 TO: Department of Enforcement NASD RE: Fredric Joseph Palmieri, Respondent CRD No. 3221649 Pursuant to Rule 9216 of NASD Code of Procedure, Fredric Joseph Palmieri 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 not bring any future actions against me alleging
Reference 2006005437501data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3221649 |
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