TOMAS ORTIZ-STRONZA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/30/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050021 To: Department of Enforcement NASD RE: Tomas Ortiz-Stronza, Respondent General Securities Representative [CRD No. 2933100] Pursuant to Rule 9216 of NASD Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that
Reference C07050021data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2938100 |
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