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JAMES T. BIONDO

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

    05/18/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2005013001 TO: Department of Enforcement NASD RE: Pyramid Funds Corporation, Respondent BD No. 3110 and James T. Biondo, Respondent CRD No.1291016 Pursuant to Rule 9216 of NASD Code of Procedure, Pyramid Funds Corporation (''Pyramid") and James T. Biondo ("Biondo") submit 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

    Reference E9B2005013001finra.orgdata-portal.finra.org

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