REMIGIO PAUL FERRARA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/13/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090172740-01 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Remigio Paul Ferrara General Securities Representative (CRD No. 2435505) Pursuant to Rule 9216 of FINRA Code of Procedure, I, Remigio Paul Ferrara ("Ferrara" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2009017274001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2435505 |
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.