PABLO FERNANDEZ -PENA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/03/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013038244901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Pablo Fernandez-Pena, Respondent General Securities Representative CRD No. 6038180 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Pablo Fernandez-Pena ("Fernandez-Pena" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2013038244901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6038180

Other names1

Also known as1

PABLO FERNANDEZ-PENA

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