JAMES LUIS FONSECA, Mr.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/28/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015048041101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: James L. Fonseca, Respondent Former Registered Representative CRD No. 2679797 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, James L. Fonseca, 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
Reference 2015048041101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2679797 |
Other names1
Also known as1
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