ANDREW J. MARIANI

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/17/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008012418201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Andrew J. Mariani General Securities Representative CRD No. 3254418 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Andrew J. Mariani. ("Mariani" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This
Reference 2008012418201finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3254418

Other names1

Also known as1

ANDREW JOHN MARIANI

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.