HARRY A ALESSI, IV
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/31/2005: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. C9A050015 TO: Department of Enforcement NASD RE: Harry A. Alessi IV, Respondent Registered Representative CRD No. 1615360 Pursuant to Rule 9216 of the NASD Code of Procedure, I 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 bring any future actions against me alleging
Reference C9A050015finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1615360 |
Other names1
Also known as1
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