ROSE P. MORANDINI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant v. ROSE P. MORANDINI Limited Registered Representative (CRD No. 1450305) Respondent Disciplinary Proceeding No. 2006005483401 Hearing Officer Sara Nelson Bloom ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 24, 2008 INTRODUCTION Disciplinary Proceeding No. 2006005483401 was filed on May 5, 2008, by the Department of Enforcement of FINRA (Complainant). Respondent Rose P. Morandini-submitted
Reference 2006005483401finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	1450305

Other names1

Also known as1

ROSE PAULINE MORANDINI

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