SCOTT JAY MATALON

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/06/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023078170101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Scott J. Matalon (Respondent) Former General Securities Representative CRD No. 4637378 Pursuant to FINRA Rule 9216, Respondent Scott J. Matalon submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2023078170101data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4637378

Other names1

Also known as1

Scott J. Matalon

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