RONALD JOSEPH GIOVINO, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/08/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070962701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Ronald J. Giovino, Jr. (Respondent) Investment Company Products/Variable Contracts Principal (IP) Investment Company Products and Variable Contracts Products Representative CRD No. 2236071 Pursuant to FINRA Rule 9216, Respondent Ronald J. Giovino, Jr. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2021070962701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2236071 |
Other names1
Also known as1
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