Arturo Alejandro Nunez

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/27/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016050694701 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Arturo Alejandro Nunez, Respondent Former Registered Representative CRD No. 4701686 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, I, Arturo Alejandro Nunez ("Nunez" or "Respondent") submit this Letter of Acceptance, Waiver and Consent ("AWC")
Reference 2016050694701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/21/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013036478401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Arturo Alejandro Nunez, Respondent Investment Company Products and Variable Contracts Representative and Principal CRD No. 4701686 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the
Reference 2013036478401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4701686

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