SERGIO M DELTORO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/12/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070077775-01 TO: Department of Market Regulation Financial hidustry Regulatory Authority ("FINRA")RE: Sergio M. Del Toro, Respondent CRD No. 3069166 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Sergio M. Del Toro ("Del Toro"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2007007777501finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	3069166

Other names1

Also known as1

SERGIO M. DEL TORO

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