Nicholas Ivo Goga
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/23/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056096701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Nicholas Ivo Goga, Respondent General Securities Representative CRD No. 6507152 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Nicholas Ivo Goga (“Goga” or “Respondent”), submit this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing
Reference 2017056096701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6507152 |
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