Ma Rosa Linan Abrego
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/06/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2019063173201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Ma Rosa Linan Abrego, Respondent Former General Securities Representative CRD No. 6122105 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Ma Rosa Linan Abrego submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2019063173201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6122105 |
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