Jorge Gonzalez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/30/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014042222101 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Jorge Gonzalez ("Gonzalez"), Respondent General Securities Representative CRD No. 4580035 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Jorge Gonzalez submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described
Reference 2014042222101data-portal.finra.orgfinra.org
Other names1
Also known as1
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