MARK FURMATO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C9B-NEW JERSEY C9B050029 TO: Department of Enforcement NASD RE: Mark Furmato, Respondent CRD No. 1823640 Pursuant to Rule 9216 of NASD Code of Procedure, Mark Furmato ("Furmato") submits 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
Reference C9B050029data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1823640 |
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