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FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Date Sort ascending
2020065035201 FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020065035201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christian Frank Lucchetto, (Respondent) General Securities Representative CRD No. 4648994 Pursuant to FINRA Rule 9216, Respondent Christian Frank Lucchetto submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. AWCs (Letters of Acceptance, Waiver, and Consent)
Christian Frank Lucchetto
01/19/2021