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Cesar Augusto Barrios

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

    01/15/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063621101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Cesar Augusto Barrios (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 6263225 Pursuant to FINRA Rule 9216, Respondent Cesar Augusto Barrios submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

    Reference 2019063621101data-portal.finra.orgfinra.org

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