NICHOLAS R. SCIASCIA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/21/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, v. NICHOLAS R. SCIASCIA (CRD No. 2813945) Respondent. Disciplinary Proceeding No. CMS040069 Hearing Officer - SW Hearing Panel Decision Dated: January 21, 2005 Respondent was barred from associating with any NASD member firm in any capacity for violating NASD Procedural Rule 8210 and NASD Conduct Rule 2110 by failing to appear and provide testimony at an on-the-record interview scheduled by the NASD staff
Reference CMS040069data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2813945

Other names1

Also known as1

NICHOLAS RAYMOND SCIASCIA

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