Neil James Buono
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/21/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018060180102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Neil James Buono, Respondent Former Investment Company & Variable Contracts Products Representative CRD No. 6768349 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Neil Buono (Buono) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018060180102data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6768349 |
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