GREGORY GASSOSO

08/10/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013039506601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Gregory Gassoso, Respondent CRD No. 2873605 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Gregory Gassoso, ("Gassoso"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition

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06/13/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. GREGORY GASSOSO (CRD No. 2873605), Respondent. Disciplinary Proceeding No. C10050048 Hearing Officer COMPLAINT Upon information and belief, the Department of Enforcement ("Complainant") alleges as follows: JURISDICTION 1. Respondent Gregory Gassoso (CRD No. 2873605) ("Respondent") first became registered with NASD as a General Securities Representative in July 1997 through a former NASD member firm. 2. In September 2001,

12/09/2005: NASD NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant v. GREGORY GASSOSO (CRD No. 2873605), Respondent. Disciplinary Proceeding No. E102003059702 Hearing Officer-AWH ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 9, 2005 INTRODUCTION Disciplinary Proceeding No. C10050048 was filed on June 14, 2005 by the Department of Enforcement of NASD ("Complainant") against Respondent Gregory Gassoso. Respondent submitted an Offer of Settlement ("Offer") to Complainant, dated November

Reference E102003059702data-portal.finra.orgdata-portal.finra.orgfinra.org