CARLOS DANIEL SUAREZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/03/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110278387 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Carlos Suarez, Respondent Financial Specialist CRD No. 5504422 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Carlos Suarez, 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 on the condition
Reference 2011027838701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5504422

Other names1

Also known as1

CARLOS SUAREZ

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