DANIEL RICHARD LAPIANA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/05/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007008905001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Daniel Richard LaPiana, Respondent Limited Principal - Investment Company and Variable Contracts Products CRD No. 1550192 Pursuant to NASD Rule 9216 of FINRA's Code of
Reference 2007008905001data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1550192 |
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