ADRIENNE MARIE LLAMAS
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/08/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011030103501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Adrienne Marie Llamas, Respondent Former Operations Liaison CRD No. 4203041 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Adrienne M. Llamas submits 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 2011030103501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4203041 |
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