Francine Ann Lanaia
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/16/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053382301 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA") RE: Francine Ann Lanaia, Respondent CRD No. 1415689 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Francine Ann Lanaia (“Respondent” or “Lanaia”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017053382301data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/17/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080154702-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francine Ann Lanaia General Securities Principal [CRD No. 1415689] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Francine Lanaia ("Lanaia") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is
Reference 2008015470201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1415689 |
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