JOHN JOSEPH ROCCO, JR
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20150465831-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Joseph Rocco, Jr., Respondent CRD No. 1347619 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I John Joseph Rocco, Jr. ("Rocco" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2015046583101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1347619 |
Other names1
Also known as1
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