LOUIS M. NOLFO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/25/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, COMPLAINANT, V. LOUIS M. NOLFO (CRD No. 2439250), RESPONDENT. DISCIPLINARY PROCEEDING NO. 2005001698202 COMPLAINT The Department of Enforcement (the "Department") alleges: 1. Louis M. Nolfo ("Nolfo" or "Respondent") became registered with FINRA (f/k/a NASD) as a Series 7 general securities representative on February 17, 1994. On June
12/01/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis M. Nolfo (CRD No 2439250), Respondent. DISCIPLINARY PROCEEDING No. 2005001698202 HEARING OFFICER - AWH ORDER ACCEPTING OFFER OF SETTLEMENT DATE: INTRODUCTION Disciplinary Proceeding No. 2005001698202 was filed on January 25, 2008 by the Department of Enforcement of the Financial Industry Regulatory Authority
Reference 2005001698202data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2439250 |
Other names1
Also known as1
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