MICHAEL J. CASSANO

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20050004481-01 To: Department of Enforcement NASD Re: Michael J. Cassano General Securities Representative (CRD No. 2909613) Pursuant to Rule 9216 of the NASD Code of Procedure, I, Michael J. Cassano, submit 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 action
Reference 2005000448101finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/05/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. MICHAEL J. CASSANO (CRD No. 2666840), Respondent. Disciplinary Proceeding No. 20090198033 Hearing Officer-Andrew H. Perkins DEFAULT DECISION June 5, 2012 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to appear and testify at an on-the-record interview, in violation of Procedural Rule 8210 and Conduct Rule 2010. Appearances Kevin M. McGee, Esq.
Reference 2009019803301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5568219

Other names1

Also known as1

MICHAEL JOSEPH CASSANO

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