Barred: Paolo Assumpcao Monaco Barred by FINRA

Barred

Paolo Assumpcao Monaco Barred by FINRA

An AWC was issued in which Monaco was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Monaco consented to the sanction and to the entry of findings that he refused to appear for onthe-record testimony or otherwise cooperate with FINRA’s investigation into a disclosure reported on a Uniform Termination Notice for Securities Industry Registration (Form U5) submitted by his member firm.

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