Lisa Acca
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/08/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060634302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lisa Acca, Respondent Former General Securities Representative Former General Securities Principal CRD No. 4661358 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lisa Acca, ("Acca") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2018060634302data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4661358 |
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