Monica Arreola Perez
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
12/19/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2014039707901 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Monica Arreola Perez ("Perez" or "Respondent"), Respondent Investment Company and Variable Contracts Products Representative CRD No. 5103164 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement
Reference 2014039707901data-portal.finra.orgfinra.org
Other names1
Also known as1
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