Alejandro Falla

09/26/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF MARKET REGULATION, Complainant, V. ALEJANDRO FALLA (CRD No. 5064828), Respondent. Disciplinary Proceeding No. 20160500923-01 COMPLAINT The Department of Market Regulation alleges: SUMMARY 1. From August 2013 through June 2014 (the "Relevant Period"), Alejandro Falla ("Falla"), the Chief Executive Officer and head trader of FINRA member BAC Florida Investments ("BAC Florida"), charged its customers undisclosed

12/05/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Alejandro Falla, (CRD No. 5064828), Respondent. Disciplinary Proceeding No. 20160500923-01 Hearing Officer-MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 5, 2016 INTRODUCTION Disciplinary Proceeding No. 20160500923-01 was filed on September 26, 2016, by the Department of Market Regulation of the Financial Industry Regulatory Authority ("FINRA" or "Complainant"). Respondent Alejandro

Reference 2016050092301data-portal.finra.orgdata-portal.finra.orgfinra.org

02/09/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035313902 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Alejandro Falla, Respondent General Securities Representative and Principal and Operations Professional CRD No. 5064828 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

Reference 2013035313902data-portal.finra.orgfinra.org