MICHAEL JAMES CONTE
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/18/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059545602 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Mr. Michael James Conte (Respondent) General Securities Principal General Securities Representative Investment Banking Principal Investment Banking Representative CRD No. 2646071 Pursuant to FINRA Rule 9216, Respondent Michael James Conte submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing
Reference 2018059545602data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2646071 |
Other names1
Also known as1
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