LADY N SANCHEZ ROMERO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/28/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068954301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Lady N. Sanchez Romero (Respondent) Former Associated Person CRD No. 5591832 Pursuant to FINRA Rule 9216, Respondent Lady N. Sanchez Romero 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
Reference 2020068954301data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 5591832 |
Other names1
Also known as1
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