Actinver Securities Inc.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/11/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. ## C10050017 TO: Department of Enforcement NASD RE: Actinver Securities Inc. ("Actinver Securities") (BD No. 41139) and Alvaro Madero ("Madero"), General Securities Principal (CRD No. 2155183) Pursuant to Rule 9216 of NASD Code of Procedure, Respondents Actinver Securities and Madero (collectively, "Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference C10050017data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/12/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2017052388601 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Actinver Securities, Inc. (Respondent) Member Firm CRD No. 41139 Pursuant to FINRA Rule 9216, Respondent Actinver Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
Reference 2017052388601data-portal.finra.org finra.org

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