Philip Joseph Sparacino

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/11/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063631801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Philip Joseph Sparacino, Respondent Former Corporate Securities Representative and Registered Options Representative CRD No. 3243960 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Philip Joseph Sparacino submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063631801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3243960

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