VICTOR MANUEL RIVERA JR.
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/03/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE WAIVER AND CONSENT 20110266913-01 TO: Office of Fraud Detection and Market Intelligence Financial Industry Regulatory Authority ("FINRA") RE: Victor Manuel Rivera, Jr., Respondent CRD No. 2001799 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Victor Manuel Rivera, Jr. ("Rivera" or "Respondent''), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2011026691301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2001799 |
Other names1
Also known as1
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