Emanuel Omar Avina
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/26/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017054932701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Emanuel Omar Avina ("Avina"), Former Registered Representative CRD No. 5403314 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Emanuel Omar Avina, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2017054932701data-portal.finra.orgfinra.org
Other names1
Also known as1
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