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GARY N. FERRARO

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

    07/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. EAF0300890003 TO: Department of Enforcement NASD RE: Gary N. Ferraro, CRD No. 2470858 Respondent Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Gary N. Ferraro ("Ferraro" or "Respondent") 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 accepted, NASD will not bring any future actions

    Reference EAF0300890003finra.orgdata-portal.finra.org

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