Alonzo C. Castillo

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/14/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2020066435801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alonzo C. Castillo, Respondent Former Associated Person CRD No. 7207820 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Alonzo C. Castillo submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020066435801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	7207820

Other names1

Also known as1

Alonzo Cruz Castillo

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