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Alberto J. Vargas

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    06/16/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019064729706 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Alberto J. Vargas (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4195928 Pursuant to FINRA Rule 9216, Respondent Alberto J. Vargas submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

    Reference 2019064729706data-portal.finra.orgfinra.org

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