PAOLO ASSUMPCAO MONACO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/19/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058988801 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Paolo Monaco. Respondent Former Registered Representative CRD No. 6335521 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Paolo Monaco submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the
Reference 2018058988801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6335521

Other names1

Also known as1

Paolo Monaco

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