Dora Alicia Soto

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/04/2025: Soto refused to appear for on-the-record testimony as requested by FINRA pursuant to FINRA Rule 8210. As a result, Soto violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...
Reference 2023080532301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7652737

Other names1

Also known as1

Dora Soto

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