NICOLE R PALUMBO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/24/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100238102 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Nicole R. Palumbo Former Securities Representative (CRD No. 5416370) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Nicole R, Palumbo ("Respondent"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2010023810201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5416370

Other names1

Also known as1

NICOLE R. PALUMBO

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