Daniel Robert Rozzi

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/13/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056611801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Robert Rozzi ("Rozzi"), Respondent Former Registered Representative CRD No. 5319858 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Daniel Robert Rozzi, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2017056611801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5319858

Other names1

Also known as1

Rozzi

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