ROBERTO ALFORD
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/16/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E1020041090-01 TO: Department of Enforcement NASD RE: Roberto Alford (CRD No. 2445460) Respondent Pursuant to Rule 9216 of NASD Code of Procedure, I ("Respondent" or "Alford") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against me alleging
Reference E102004109001finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2445460 |
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