DIANA VILLALVAZO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/04/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DIANA VILLALVAZO (CRD No. 4773728), Respondent. Hearing Officer - LBB Disciplinary Proceeding No. 20100215669 Dated: April 4, 2012 Respondent Diana Villalvazo is barred from associating with any FINRA member firm in any capacity for conversion of customer funds, and forgery of a customer's name in furtherance of the conversion, in violation of NASD
Reference 2010021566901data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4773728 |
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