RAMONA CATHERINE MASSIMO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Ramona Catherine Massimo (CRD No. 2862818), Respondent. DISCIPLINARY PROCEEDING No. 2012032117701 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between January 2009 and February 2012, Ramona Catherine Massimo (Respondent) converted approximately $102,047 from PM, her supervisor at a FINRA-regulated broker-dealer, by issuing approximately $65,293 in checks from PM's business
Reference 2012032117701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2862818 |
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