STEVEN J. SIMONE

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/18/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011028964202 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven Simone, Respondent General Securities Representative CRD No. 2413602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Steven Simone ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011028964202data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/19/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008015766201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Steven J. Simone General Securities Representative CRD No. 2413602 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Steven J. Simone ("Simone" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC
Reference 2008015766201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2413602

Other names2

Also known as2

STEVEN SIMONESTEVEN JOHN SIMONE

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