JAVIER A ECHEVERRIA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/11/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012034616801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Javier A. Echeverria, Respondent Former Series 6 and 63 Registered Representative CRD No. 5481246 Pursuant to FINRA Rule 9216 of FINRA's 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 below. This AWC is
Reference 2012034616801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5481246

Other names1

Also known as1

JAVIER A. ECHEVERRIA

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.