ERICA D LICCIARDELLO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/20/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150479641-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Erica Licciardello, Respondent CRD No. 3229149 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose ofproposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted,
Reference 2015047964101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3229149

Other names1

Also known as1

Erica Licciardello

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