DOMINIC ANTHONY TROPIANO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016051098501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Dominic Tropiano An Unregistered Representative CRD No. 4761462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Dominic Tropiano submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2016051098501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4761462

Other names1

Also known as1

Dominic Tropiano

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