EDWIN E. MOSQUERA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/20/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110292224-02 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Edwin E. Mosquera, Respondent Registered Representative CRD No. 3049414 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Edwin E. Mosquera ("Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2011029222402data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	3049414

Other names1

Also known as1

EDWIN EFRAIN MOSQUERA

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