CHARLES I. ALVAREZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/02/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011026995301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Charles I. Alvarez, Respondent General Securities Representative [CRD No. 4499192] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Charles I. Alvarez, 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
Reference 2011026995301data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4499192

Other names1

Also known as1

CHARLES IGNACIO ALVAREZ

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