JOHN MICHAEL LEONE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/01/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015045761101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Michael Leone, Respondent Non-Registered Associated Person CRD No. 6032349 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Michael Leone ("Leone"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2015045761101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6032349 |
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