Javelin M. San Nicolas
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/19/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067455201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Javelin M. San Nicolas (Respondent) Former General Securities Representative CRD No. 6722186 Pursuant to FINRA Rule 9216, Respondent Javelin M. San Nicolas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2020067455201data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6722186 |
Other names1
Also known as1
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