DENISE C CASSANO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/12/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO: 2007007816001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Denise C Cassano CRD No. 1472663 Respondent Limited Principal - Investment Company and Variable Contracts Products Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2007007816001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1472663

Other names1

Also known as1

DENISE C. CASSANO

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