Cesar Ricardo Alfonzo

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/17/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071964901 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Ricardo Alfonzo (Respondent) Former General Securities Representative CRD No. 6817711 Pursuant to FINRA Rule 9216, Respondent Cesar Ricardo Alfonzo 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 2021071964901data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	6817711

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