Amanda Justine Sarabia
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/18/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Amanda Justine Sarabia (CRD No. 6437164), Respondent. DISCIPLINARY PROCEEDING No. 2018057635002 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. In March 2018, Enforcement initiated an investigation into allegations that Amanda Justine Sarabia ("Sarabia"), an associated employee with Northwestern Mutual Investment Services LLC
06/21/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Amanda Justine Sarabia CRD No. 6437164, Respondent. Disciplinary Proceeding No. 2018057635002 Hearing Officer LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 21, 2019 INTRODUCTION Disciplinary Proceeding No. 2018057635002 was filed on April 18, 2019, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Amanda Justine Sarabia submitted
Reference 2018057635002data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6437164 |
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