LINDA M. ROSATO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0300920004 TO: Department of Enforcement NASD RE: Linda M. Rosato, Respondent CRD No. 1085831 Pursuant to Rule 9216 of the NASD Code of Procedure, Linda M. Rosato ("Rosato" or "Respondent") submits 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 actions against
Reference EAF0300920004finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1085831

Other names1

Also known as1

LINDA MARY ROSATO

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