FRANCIS R. LAROSA JR.

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/17/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027852604 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Francis R. LaRosa, Jr., Respondent General Securities Representative and General Securities Sales Supervisor CRD No. 2623556 Pursuant to FINRA Rule 9216 of FINRA's 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 describe
Reference 2011027852604data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2623556

Other names1

Also known as1

FRANCIS ROSS LAROSA, JR

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