Person
Screen this subjectJohn Michael Palma
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/25/2025: Palma refused to produce information and documents requested pursuant to FINRA Rule 8210. As a result, Palma violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2019060753511data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6848651 |
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