ANDREW G. COSTA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/03/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011553501 TO: Department of Enforcement ("Enforcement") Financial Industry Regulatory Authority ("FINRA") RE: Costa Financial Services, Inc., Respondent - CRD No. 45039 Andrew G. Costa, Respondent - CRD No. 1600926 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2007011553501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1600926

Other names1

Also known as1

ANDREW GRIGSBY COSTA

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