Yonara Valerio
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/03/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068453101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yonara Valerio (Respondent) Former Investment Company and Variable Contracts Representative CRD No. 5754141 Pursuant to FINRA Rule 9216, Respondent Yonara Valerio submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068453101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5754141 |
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