MARY ANN NAVENTI
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004215401 TO: Department of Enforcement NASD RE: Mary Ann Naventi Respondent CRD No. 2656084 Pursuant to Rule 9216 of the NASD Code of Procedure, Mary Ann Naventi ("Naventi") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accept, NASD will not bring any future actions against me
Reference 2006004215401data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2656084 |
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