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Dominic Julio Baldini

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

    12/22/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020066078202 TO : Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Emerson Equity, LLC (Respondent) Member Firm CRD No. 130032 Dominic Julio Baldini (Respondent) General Securities Principal CRD No. 3082081 Pursuant to FINRA Rule 9216, Respondents Emerson Equity, LLC and Dominic Julio Baldini submit this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a

    Reference 2020066078202data-portal.finra.orgfinra.org

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