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Christopher Vetrano

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018059111001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Chelsea Financial Services, Respondent Member Firm CRD No. 47770 Christopher Vetrano, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Investment Banking Principal, Operations Professional CRD 2476447 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Chelsea Financial Services ("Chelsea Financial" or the "Firm") and Christopher Vetrano (together, "Respondents") submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2018059111001finra.orgdata-portal.finra.org

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