LORENZO FIOL

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/22/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010024383201 TO : Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Lorenzo Fiol, Respondent Registered Representative CRD No. 2454926 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Lorenzo Fiol, 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 submitted on the
Reference 2010024383201data-portal.finra.org finra.org

Identifiers1

Identifier	Number
ID number	2454926

Other names1

Also known as1

LORENZO FIOL, JR

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