FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2018058102601 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2018058102601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Renee Valerie Altamirano, Respondent General Securities Representative CRD No. 5644156 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, I, Renee Valerie Altamirano, submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Renee Valerie Altamirano
Action Date 04/15/2019