ANTHONY CHARLES TROIA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002250301 TO: Department of Enforcement NASD RE: Anthony Charles Troia, Respondent CRD No. 2592032 Pursuant to Rule 9216 of NASD Code of Procedure, Anthony Charles Troia ('Troia") 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
Reference 2005002250301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2592032 |
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