ALEXIS J. RIVERA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/08/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005002440801 TO: Department of Enforcement NASD RE: Alexis J. Rivera, Respondent General Securities Principal, General Securities Representative, and Equity Trader [CRD No. 1656738] Pursuant to Rule 9216 of NASD Code of Procedure, Alexis J. Rivera submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if
Reference 2005002440801data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1656738 |
Other names1
Also known as1
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