DAVID DANIEL RUOZZI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/05/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030662101 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: David Daniel Ruozzi, Respondent Former Registered Representative CRD No. 3271663 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 submitted
Reference 2011030662101finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3271663

Other names1

Also known as1

DAVID RUOZZI

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