ALFONSO FORERO
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/28/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000886301 TO: Department of Enforcement NASD RE: Alfonso Forero, Respondent CRD No. 2797194 Pursuant to Rule 9216 of NASD's Code of Procedure, Alfonso Forero submits 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 violations based on
Reference 2005000886301finra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 2797194 |
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