PHILIP L. REGANO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/30/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. PHILIP L. REGANO Limited Registered Representative (CRD No. 1187182) Respondent Disciplinary Proceeding No. E8A2004059501 Hearing Officer Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 30, 2006 INTRODUCTION Disciplinary Proceeding No. E8A2004059501 was filed on April 25, 2006, by the Department of Enforcement of NASD ("Complainant"). Respondent Philip L. Regano ("Regano" or "Respondent") submitted an Offer of
04/25/2006: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant vs. PHILIP L. REGANO Limited Registered Representative (CRD No. 1187182) Respondent Disciplinary Proceeding No. E8A2004059501 Hearing Officer COMPLAINT Upon information and belief, Complainant alleges as follows: 1. From on or about January 30, 2002 to on or about April 28, 2004, Philip L. Regano ("Respondent Regano") was registered as an Investment Company and Variable Contracts Products Representative with Alleghany Investments, LTD
Reference E8A2004059501data-portal.finra.orgdata-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1187182 |
Other names1
Also known as1
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