PHILIP JOHN NOCIFORO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/17/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILIP JOHN NOCIFORO (CRD No. 1482682), Respondent. Disciplinary Proceeding No. C10050027 Hearing Officer - DRP DEFAULT DECISION October 17, 2005 Respondent is barred from association with any NASD member in any capacity for misusing customer funds, in violation of NASD Conduct Rule 2110. In light of the bar, no sanction is imposed for falsifying documents in
05/05/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. PHILIP JOHN NOCIFORO (CRD 1482682), Respondent. Disciplinary Proceeding No. C10050027 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement alleges that: JURISDICTION 1. Respondent Philip John Nociforo first became registered with NASD as an Investment Company Products/Variable Contracts Representative ("IR") on April 6, 1993
Reference C10050027data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1482682 |
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