Victor Michel

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/03/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT N0. 2017054755201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Victor Michel, Respondent Former General Securities Representative CRD NO. 2689456 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I 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
Reference 2017054755201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/27/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043979001 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Victor Michel, Respondent CRD No. 2689456 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Victor Michel (the "Respondent") 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
Reference 2015043979001data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2689456

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