Charles H. Garrido
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/18/2025: From January 2020 to December 2023, Garrido exercised discretion without written authorization in connection with approximately 2,500 trades in over 200 customer accounts in violation of FINRA Rules 3260(b) and 2010. Additionally, from January 2020 to August 2024, he used his personal cell phone to exchange thousands of securities business-related text messages with customers, causing A.G.P. / Alliance Global Partners to maintain incomplete records of business communications in violation of FINRA Rules 4511 and 2010. For those violations, Garrido is suspended for three months in all capacities and fined $10,000...
Reference 2023077059102data-portal.finra.orgfinra.org
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