Remigio Paul Ferrara (CRD # 2435505, Registered Representative, Springfield, Virginia) submitted a Letter of Acceptance, Waiver and Consent in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the findings, Ferrara consented to the described sanction and to the entry of findings that he facilitated an investment by his member firm’s customers in the form of a promissory note and did not provide written notice to, or obtain approval from, his firm prior to facilitating the investment. The findings stated that Ferrara failed to respond to FINRA requests for information and documentation.

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