SALVATORE PUCCIO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/02/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. SALVATORE PUCCIO (CRD No. 2416853), Respondent. Disciplinary Proceeding No.C07040071 Hearing Officer-Andrew H. Perkins DEFAULT DECISION March 2, 2005 Respondent is barred from associating with any NASD member firm in any capacity for failing to respond to requests for information, in violation of NASD Procedural Rule 8210 and NASD Conduct Rule 2110. Because of the bar, the Respondent is not further sanctioned for engaging in
Reference C07040071data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2416853

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