CARLOS APONTE JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/25/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT Complainant, v. CARLOS APONTE, JR. (CRD No. 4211338), Brooklyn, NY 11209 Respondent. Disciplinary Proceeding No. C07050006 Hearing Officer-SNB DEFAULT DECISION May 25, 2005 For Respondent's failure to update his Form U-4, in violation of Rule 2110 and IM 1000-1, and for his failure to provide requested information, in violation of Rules 8210 and 2110, Respondent is barred from associating with any NASD member in any capacity.
Reference C07050006data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4211338 |
Other names1
Also known as1
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