Desiderio Eloy Torrez

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/20/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021072500701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Desiderio Eloy Torrez (Respondent) Former Investment Company and Variable Contracts Products Representative Former Investment Company Products/Variable Contracts Principal CRD No. 4759218 Pursuant to FINRA Rule 9216, Respondent Desiderio Eloy Torrez submits 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 actions against Respondent alleging violations based on the same factual findings described in this AWC.
Reference 2021072500701data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4759218

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