AMY ELIZABETH PESINA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/09/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054351601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Amy Pesina, Respondent Former Registered Representative CRD No. 6503149 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Amy Pesina ("Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2017054351601data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6503149

Other names1

Also known as1

Amy Pesina

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