JOHN FITZGERALD FAILLA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/07/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2009017609201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: John Fitzgerald Failla CRD No. 1969338 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, John Failla, submit 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 submitted on the
Reference 2009017609201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1969338

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