JAY GIANNI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/14/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050011 TO: Department of Enforcement NASD RE: Jay Gianni Registered Representative CRD No. 2134234 Pursuant to Rule 9216 of NASD Code of Procedure, I, Jay Gianni, submit 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
Reference C8A050011data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2134234

Other names1

Also known as1

JAY JAMES GIANNI

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