Yoandra Lopez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020068623601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Yoandra Lopez (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6902387 Pursuant to FINRA Rule 9216, Respondent Yoandra Lopez submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020068623601data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6902387 |
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