ALFONSO FIERO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/11/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ALFONSO FIERO (CRD No. 4248781), Respondent. Disciplinary Proceeding No. 2008015329001 Hearing Officer-Andrew H. Perkins DEFAULT DECISION April 11, 2011 Respondent is barred from associating with any FINRA registered firm in any capacity for failing to notify his employer firm that he had a securities account at another FINRA registered firm, and failing to notify the second firm that he was
Reference 2008015329001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4248781 |
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