GLORIA R. OSORIO

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/05/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C8A050031 TO: Department of Enforcement NASD RE: Gloria R. Osorio, Respondent Registered Representative (CRD No. 4520109) Pursuant to Rule 9216 of NASD Code of Procedure, I, Gloria R. Osorio, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me
Reference C8A050031data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	4520109

Other names1

Also known as1

GLORIA RENE OSORIO

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