JOSEPH J. AZZATA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E072003004202 TO: Department of Enforcement NASD RE: Joseph J. Azzata CRD No. 2446677 Pursuant to Rule 9216 of NASD Code of Procedure, Joseph J. Azzata 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 alleging violations based
Reference E072003004202data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2446677

Other names1

Also known as1

JOSEPH JOHN AZZATA

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