MIGUEL A ROSAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/19/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100243960 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Miguel Alex Rosas CRD No. 5159207 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Miguel Alex Rosas ("Rosas" or "Respondent"), 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 submitted on the condition that,
Reference 2010024396001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5159207

Other names1

Also known as1

MIGUEL ALEX ROSAS

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