LOUIS TOMASELLO III

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/16/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Louis Tomasello, III, (CRD No. 2260987), Respondent. DISCIPLINARY PROCEEDING No. 2006004832901 Hearing Officer: LBB ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 16, 2009 INTRODUCTION Disciplinary Proceeding No. 20060048328901 was filed on May 22, 2009 by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Louis Tomasello, III
Reference 2006004832901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2260987

Other names1

Also known as1

LOUIS TOMASELLO, III

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