Christ Elias Baltas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/22/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018057883101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Christ Elias Baltas, Respondent Former General Securities Representative, General Securities Principal, and Operations Professional CRD No. 2570499 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Christ Elias Baltas submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2018057883101data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2570499 |
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