NICHOLAS P BENTIVEGNA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/04/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027282201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nicholas P. Bentivegna, Respondent General Securities Representative CRD No. 4636923 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Nicholas P. Bentivegna ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011027282201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4636923

Other names1

Also known as1

NICHOLAS P. BENTIVEGNA

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