DAVID JOHN VOLPE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/02/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019062404601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: David J. Volpe, Respondent CRD No. 2543478 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent David J. Volpe submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019062404601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2543478

Other names1

Also known as1

David J. Volpe

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