Elizabeth Marie Garcia
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/08/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053741501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Elizabeth Marie Garcia, Respondent General Securities Representative CRD No. 6385917 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Elizabeth Marie Garcia ("Garcia"), submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of
Reference 2017053741501finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 6385917 |
This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.