MICHAEL JOHN SMERIGLIO III
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/04/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042110701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Michael John Smeriglio III, Respondent CRD No. 2499903 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Michael John Smeriglio III ("Smeriglio" or "Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2014042110701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2499903 |
Other names1
Also known as1
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