RONALD SCOTT CAPUTO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/23/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000284-02 TO: Department of Market Regulation NASD FROM: Ronald Scott Caputo CRD No. 1464988 Pursuant to Rule 9216 of NASD Code of Procedure, I, Ronald Scott Caputo, submit 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. I submit this AWC on the condition that, if accepted, NASD
Reference 2005000028402data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1464988 |
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