Jolam Mendez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/09/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068745101 TO Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jolam Mendez (Respondent) CRD No. 7194083 Pursuant to FINRA Rule 9216, Respondent Jolam Mendez submits 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 that, if accepted FINRA will not bring any future actions against Respondent alleging violations based on factual findings described in this AWC.
Reference 2020068745101finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 7194083 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.