LISA ANN ESPOSITO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, vs. Meeting Street Brokerage, LLC, BD No. 34764, Vincent Esposito, CRD No. 2713493, and Lisa Esposito, CRD No. 2362228, Respondents. Disciplinary Proceeding No. 2007007151001 Hearing Officer - RSH Department of Enforcement, Complainant, vs. Meeting Street Brokerage, LLC, BD No. 34764 Respondent. Disciplinary Proceeding No. 2008013096101 Hearing Officer - RSH ORDER ACCEPTING OFFER OF
Reference 2007007151001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2362228

Other names1

Also known as1

LISA ESPOSITO

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