FRANCESCO PUCCIO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015046238101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Francesco Puccio, Respondent General Securities Representative CRD No. 3204237 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Francesco Puccio (''Puccio"), submit this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2015046238101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 3204237 |
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