Joseph A Ambrosole

02/15/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047839902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Joseph A. Ambrosole CRD No. 5732488 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Joseph A. Ambrosole 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 condition that, if accepted

Reference 2015047839902data-portal.finra.orgfinra.org

04/07/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019061947601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2019061947601finra.orgdata-portal.finra.org

07/28/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072773201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Joseph A. Ambrosole (Respondent) Former General Securities Representative CRD No. 5732488 Pursuant to FINRA Rule 9216, Respondent Joseph A. Ambrosole 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 condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021072773201data-portal.finra.orgfinra.org