ESPOSITO SECURITIES LLC
Regulator actionUnited States. Named in 2 sanctions listings.
Sanctions and listings2
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141706-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Esposito Securities, LLC, Respondent Broker-Dealer CRD No. 143710 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Esposito Securities, LLC (the "firm'') 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 2008014170601data-portal.finra.orgfinra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090198324-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Esposito Securities, LLC, Respondent Broker-Dealer CRD No. 143710 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Esposito Securities, LLC, (the "firm"), 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 2009019832401finra.orgdata-portal.finra.org
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