ROBERTO ETIEL RODRIGUEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/21/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016830801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: CRD No. 5531462 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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 on the condition that, if accepted, FINRA will not bring any future
Reference 2009016830801data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	5531462

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