MARIA TERESA TAUSSI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/06/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. MARIA TERESA TAUSSI (CRD No. 4263416) Respondent. Disciplinary Proceeding No.2005002322601 Hearing Officer-AWH DEFAULT DECISION February 6, 2007 Formerly registered representative converted firm funds, in violation of NASD Conduct Rule 2110, and failed to respond to NASD staff requests for information, in violation of Procedural Rule 8210 and Conduct Rule 2110. Respondent barred for conversion of funds and failure to respond to
Reference 2005002322601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4263416 |
Other names1
Also known as1
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