CHARLES W. APODACA

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/09/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2012032562801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles W. Apodaca, Respondent General Securities Principal General Securities Representative Investment Company and Variable Contracts Products Representative Direct Participation Program Representative CRD No. 1604427 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure,
Reference 2012032562801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	1604427

Other names1

Also known as1

CHARLES WILLIAM APODACA

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