FRANK J. CONTE

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2005001426601 TO: Department of Enforcement NASD RE: Frank J. Conte, Respondent Registered Representative CRD No. 1305007 Pursuant to Rule 9216 of the NASD Code of Procedure, I submit this Letter of Acceptance, Waiver, and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference 2005001426601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1305007

Other names1

Also known as1

FRANK JOSEPH CONTE

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.