ALBERT TOMMIE CARAZOLEZ

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/01/2005: NASD OFFICE OF HEARING OFFICERS Department of Market Regulation, Complainant, v. Albert Carazolez (CRD No. 2204105) Respondent. Disciplinary Proceeding No. CMS040049 Hearing Officer - SNB ORDER ACCEPTING OFFER OF SETTLEMENT February 1, 2005 INTRODUCTION Disciplinary Proceeding No. CMS040049 was filed on April 22,2004, by the Market Regulation Department of NASD ("Complainant"). Respondent Albert Carazolez submitted an Offer of Settlement ("Offer") to Complainant on January 31, 2005.
Reference CMS040049finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	2204105

Other names1

Also known as1

Albert Carazolez

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.