ALFONSO PAPA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/31/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016048730602 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alfonso Papa, Respondent Former Registered Representative CRD No. 6016829 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Alfonso Papa, 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 submitted
Reference 2016048730602data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6016829 |
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