Stephen J. Stancarone
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/25/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068202301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Stephen J. Stancarone (Respondent) Former General Securities Representative (GSR) CRD No. 4373958 Pursuant to FINRA Rule 9216, Respondent Stephen J. Stancarone submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068202301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4373958 |
Other names1
Also known as1
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