MARIO J MICELI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011537001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Mario Miceli, Respondent ("Miceli" "Respondent") CRD No. 4798960 Pursuant to Rule 9216 of FINRA Code of Procedure, I submit 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 condition that, if accept
Reference 2007011537001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4798960

Other names1

Also known as1

MARIO MICELI

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