PETER RAYMOND QUARTARARO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. PETER RAYMOND QUARTARARO (CRD No. 3079675), Respondent. Disciplinary Proceeding No. 20120314510-01 Hearing Officer - RLP DEFAULT DECISION February 21, 2013 For (i) engaging in securities fraud, in violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and FINRA Rules 2020 and 2010; (ii) misappropriating customer funds, in violation of FINRA Rule 2010; and
09/25/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Peter Raymond Quartararo (CRD No. 3079675), Respondent. Disciplinary Proceeding No. 20120314510-01 COMPLAINT The Department of Market Regulation alleges: Summary 1. Beginning in March 2011, registered representative Peter Raymond Quartararo ("Quartararo" or "Respondent") embarked on a scheme to defraud two acquaintances., WV and MBV, in connection with the purported purchase of shares of
Reference 2012031451001data-portal.finra.org finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3079675

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