EMANUELE ANTHONY SCARSO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/13/2005: NASD OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Emanuele Anthony Scarso, CRD No. 2080536 Respondent. Disciplinary Proceeding No. E062003035102 Hearing Officer: COMPLAINT Upon information and belief, Complainant alleges as follows: 1. Emanuele Anthony Scarso ("Scarso" or "Respondent") entered the securities Industry in July 1990 when he associated with an NASD member firm. During the period from June 1991
05/22/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. EMANUELE ANTHONY SCARSO, (CRD No. 2080536), Respondent. Disciplinary Proceeding No. E062003035102 DEFAULT DECISION Hearing Officer - SW Date: May 22,2006 Respondent was barred for violating NASD Conduct Rule 2110 and IM-2310- 2(b)(4)(A)(iii) by executing twelve unauthorized transactions in the accounts of four customers. In addition to the bar, Respondent was
Reference E062003035102data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2080536 |
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