LEONEL FEDERICO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/14/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060018579-01 TO: Department of Enforcement NASD RE: Leonel Frederico. Respondent General Securities Representative CRD No. 2198659 Pursuant to Rule 9216 of NASD Code of Procedure, I, Leonel Frederico ("Frederico"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any
Reference 2005001857901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2198659

Other names1

Also known as1

LEONEL FREDERICO

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