RAFAEL ERNESTO AVILA
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/07/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. C07050009 TO: Department of Enforcement NASD RE: Ernesto Avila, Respondent General Securities Representative CRD Nos. 4341162 and 2960672 Pursuant to Rule 9116 of NASD Code of Procedure, I 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
Reference C07050009data-portal.finra.orgfinra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 4341162 |
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