JOSE LUIS LUNA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
06/15/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010022784701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jose Luis Luna, Respondent General Securities Representative CRD No. 45667S4 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Jose Luis Luna, submit 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
Reference 2010022784701data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4566784 |
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