JAIME E CARVALLO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/08/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054419802 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jaime E. Carvallo, Respondent General Securities Representative, General Securities Principal, Investment Banking Representative, Operations Professional CRD No. 4520352 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
Reference 2017054419802data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4520352

Other names1

Also known as1

Jaime E. Carvallo

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.