Andrew Manuel Garcia
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/04/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Andrew Manuel Garcia (CRD No. 6715172), Respondent. DISCIPLINARY PROCEEDING No. 2017054899801 Hearing Officer: COMPLAINT The Department of Enforcement (“Enforcement”) alleges: SUMMARY 1. From April 27, 2017 until June 14, 2017 (the “Relevant Period”),
06/07/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ANDREW MANUEL GARCIA (CRD No. 6715172), Respondent. DISCIPLINARY PROCEEDING NO. 2017054899801 HEARING OFFICER – DRS ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 7, 2019 INTRODUCTION Disciplinary Proceeding No. 2017054899801 was filed on February 4, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (“FINRA”) (“Complainant”).
Reference 2017054899801finra.orgdata-portal.finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6715172 |
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