ESTRADA HINOJOSA & COMPANY INC.

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/11/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011025613101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Estrada Hinojosa & Company, Inc. CRD No. 19299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Estrada Hinojosa & Company, Inc. ("Estrada" or "Respondent") 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
Reference 2011025613101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/22/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120346099-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Estrada Hinojosa & Company, Inc., Respondent Broker-Dealer CRD No. 19299 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Estrada Hinojosa & Company, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations
Reference 2012034609901data-portal.finra.org finra.org

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