MAXI JOEL ARIAS

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/07/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006004268401 TO: Department of Enforcement NASD RE: Maxi Joel Arias, Respondent [General Securities Representative] [CRD No. 4556162] Pursuant to Rule 9216 of NASD Code of Procedure, Respondent Maxi Joel Arias ("Arias" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD
Reference 2006004268401data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4556162

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