DOMINIC J. VRICELLA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/06/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominic J. Vricella, Respondent General Securities Principal CRD No. 1525115 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2007008938701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1525115

Other names1

Also known as1

DOMINIC JOSEPH VRICELLA

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